TD Ameritrade problem Archives

Robert Rex, Esq.
August 10, 2015

TD Ameritrade Fined $300,000 by Texas Securities Regulators

TD Ameritrade Fined $300,000 by Texas Securities Regulators https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g August 10, 2015 August 10, 2015

July 28, 2015 TD Ameritrade agreed to pay $300,000 to the state of Texas for failing to enforce internal rules requiring customers to be notified when money is withdrawn from…

Robert Rex, Esq.
June 3, 2015

Sam Stull-Grapevine Texas StockBroker-Sanctioned for Forgery

Sam Stull-Grapevine Texas StockBroker-Sanctioned for Forgery https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g June 3, 2015 June 3, 2015

March 30, 2015, Grapevine, Texas Sam Marshall Stull entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he forged the signatures of…