Search Results for: Scottrade
FINRA fines Scottrade $2.6 Million
November 17th, 2015
FINRA Fines Scottrade $2.6 Million for Significant Failures in Required Electronic Records and Email Retention The Financial Industry Regulatory Authority (FINRA) announced today that it fined Scottrade, Inc. $2.6 million for failing to retain a large number of securities-related ...
Hackers targeted retail brokerage Scottrade customers
October 5th, 2015
Scottrade has issued an announcement to inform investors in relation to cybersecurity crimes investigations involving the theft of information from the company. Scottrade says that: “Federal law enforcement officials recently informed us that they’ve been investigating cybersecurity crimes involving ...
FINRA Fines Morgan Stanley Smith Barney and Scottrade a Total of $950,000
June 23rd, 2015
The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Morgan Stanley Smith Barney, LLC (Morgan Stanley) $650,000 and Scottrade, Inc. $300,000 for failing to implement reasonable supervisory systems to monitor the transmittal of customer funds to ...
Two of the largest online brokerages are near to a $4 Billion acquisition Deal
October 24th, 2016
TD Ameritrade, TD Bank Said Near $4 Billion Scottrade Deal Deal would combine two of the largest online brokerages Toronto-Dominion Bank said to acquire banking operations TD Ameritrade Holding Corp. and its largest stakeholder, Toronto-Dominion Bank, are close to ...
Top rated investment firms by consumers
June 2nd, 2016
Edward Jones and Fidelity Investments Earn Top Customer Experience Ratings for Investment Firms, According to Temkin Group Credit unions, USAA, and Regions deliver the best customer experience in the banking industry, according to the 2016 Temkin Experience Ratings, an ...
Fitch: U.S. Retail Brokers Focus On Customer Wallet Share
March 10th, 2016
U.S. retail brokers continue to capture more client wallet share and drive a more diverse revenue base, which could support further improvements in their financial performance, according to a special report published today by Fitch Ratings. Reflecting these favorable ...
JPMorgan’s 2014 Hack Tied to Largest Cyber Breach Ever
November 11th, 2015
Online gambling, bitcoin scam, money laundering among charges Hackers took data on 100 million customers, U.S. alleges The U.S. described a vast, multi-year criminal enterprise centering on hacks of at least nine big financial and publishing firms and the ...
SEC: OZ Management LP Admits Providing Inaccurate Data, Impacting Brokers’ Records and “Blue Sheets”
July 15th, 2015
The Securities and Exchange Commission today charged OZ Management LP with providing inaccurate trade data to four prime brokers, causing inaccuracies in the brokers’ books and records and in data provided to the SEC in investigations. OZ Management, an ...
Regulatory Fine
June 26th, 2015
Global Regulators Cyprus Securities and Exchange Commission (CySec) Fines Imposed for Year 2015 and 2016
SEC wins asset freeze against Chinese accused of insider trading
April 30th, 2015
The U.S. Securities Exchange Commission won on Wednesday a court order to freeze the assets of two Chinese nationals accused of insider trading for their “remarkably timed” purchases of call options in Chinese classified advertising website 58.com Inc. The ...
