Tag Archives: TD Ameritrade

Disabled Couple File Arbitration Claim Against TD Ameritrade

June 07, 2017  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

Kevin and Natalie Flynn have filed a FINRA arbitration claim against TD Ameritrade alleging that the firm violated FINRA’s “know your customer” rule, recommended unsuitable investments and failed to supervise its registered persons. The claim alleges $500,000 in losses. Kevin Flynn is a 60-year-old former salesman who suffered spinal damage relating to a car accident […]

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TD Ameritrade Broker Barred for Theft of Customer Funds

Rice Alexander Jacobs, a registered representative with TD Ameritrade, Inc., was permanently barred by Financial Industry Regulatory Authority (FINRA) for failing to provide information and documentation in connection with an investigation into allegations that Jacobs converted a local organization’s funds. Letter of Acceptance, Waiver, and Consent No. 20150439952 (Mar. 11, 2015). According to the AWC, […]

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