Tag Archives: TD Ameritrade Inc.

Investors Sue TD Ameritrade For Failure to Liquidate

May 12, 2020  |   Posted by :   |   Failure to Execute, Securities Arbitration Claims   |   Comments Off on Investors Sue TD Ameritrade For Failure to Liquidate

Alex Shvartsman (also known as Alex Shuartsman) of Smithtown New York a stockbroker employed by TD Ameritrade Inc. has been identified in a customer initiated investment related arbitration claim where the customer sought $1,700,000.00 in damages founded on accusations that the customer was provided with bad investment advice and inappropriately advised not to liquidate an […]

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TD Ameritrade Stockbroker Barred In Selling Away Investigation

April 23, 2020  |   Posted by :   |   Selling Away and Outside Activities   |   Comments Off on TD Ameritrade Stockbroker Barred In Selling Away Investigation

Kwasi Mensah Aggor of Providence Rhode Island a stockbroker formerly registered with TD Ameritrade Inc. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he neglected to cooperate with FINRA’s investigation into allegations of him selling away from TD Ameritrade. Letter of […]

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TD Broker Barred In FINRA Theft Investigation

Leonardo S. Araujo of Coral Gables Florida a stockbroker formerly employed by TD Ameritrade Inc. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by accusations that he failed to cooperate with FINRA’s request for his information. Case No. 2016049044601 (Aug. 28, 2017). According to FINRA Public […]

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TD Ameritrade Accused Of Providing Investor Bad Information

September 28, 2018  |   Posted by :   |   Bond Fraud, Investment and Regulatory News, Municipal Bond Fraud   |   0 Comments

Joseph Edward Sorok of Great Neck New York a stockbroker currently registered with TD Ameritrade Inc. is referenced in a customer initiated investment related written complaint on July 9, 2018 where the customer sought $182,728.00 in damages supported by accusations that the customer was poorly advised concerning investments in municipal debt products. Financial Industry Regulatory […]

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FINRA Bars Broker In Theft Investigation

Christopher Guocthai Nguyen of Fort Worth Texas a stockbroker formerly registered with TD Ameritrade Inc. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by allegations that he failed to provide information to FINRA concerning his activities. Case No. 2017055956001 (Apr. 12, 2018). FINRA Public Disclosure reveals […]

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TD Ameritrade Sued For Unsuitable Options Strategy

Mark Joseph Glattly, of Beverly Hills, California, a stockbroker formerly registered with TD Ameritrade, Inc., has been named in a customer initiated investment related arbitration claim on January 30, 2017, in which the customer requested $855,000.00 in damages based upon allegations that the options strategy Glattly recommended was unsuitable for the customer. Financial Industry Regulatory […]

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