Brokerage firm agrees in principle to make technology changes and pay legal fees to former customer but avoids class-action claims.
Class-action filing comes from former customer who moved her account ten years ago to Scottrade, which is transferring accounts back to TD Ameritrade platform.
State official says firm now owned by TD Ameritrade violated the DOL’s fiduciary rule by “conducting sophomoric contests.”
TD Ameritrade Holding Corp. could be sliding into your DMs.
Finra panel denies discount firm’s bid to enjoin broker who jumped to one of its former RIA customers from contacting his former clients.