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January 17, 2012 | Daily Business Review

TD Ameritrade fiscal 1Q profit up 5 percent

TD Ameritrade said its fiscal first-quarter net income grew 5 percent and its revenue was almost unchanged as the online brokerage's trading activity slowed amid worries about the economy.
2 minute read
July 22, 2009 | Law.com

TD Ameritrade Settles for $456 Million in Auction-Rate Securities Suit

In a settlement with New York Attorney General Andrew Cuomo announced Monday, TD Ameritrade agreed to return some $456 million to roughly 4,000 customers who bought now-frozen auction-rate securities. Also Monday, Cuomo announced that his office intends to file fraud charges against Charles Schwab & Co. if a similar matter is not resolved by Friday. The SEC is pursuing another downstream broker, Morgan Keegan, with a civil suit filed in federal court in Georgia on Tuesday.
3 minute read
August 11, 2005 | Law.com

Lawsuit Accuses Ameritrade of Delaying Trades

Ameritrade is being accused of costing investors $100 million by delaying orders to buy and sell stock. A federal class action alleges that the online broker in one instance took more than an hour to execute a trade, costing an investor more than $26,000. Ameritrade, which also faces a class action accusing it of having "antiquated" systems, could become the largest online broker thanks to a recently signed deal to acquire rival TD Waterhouse USA for about $3 billion.
3 minute read
October 26, 2010 | Daily Business Review

Brokers flee brokerages as declining assets show broken model

After Morgan Stanley took control of Smith Barney in May 2009 from Citigroup Inc., David Hopkins grew disillusioned with his new bosses.
7 minute read
June 11, 2013 | Daily Business Review

Schwab Topping Goldman Sachs Presages Return To Stocks

Shares of discount brokers are gaining the most since 2003 compared with the Standard & Poor's 500 Index, a sign that small investors are joining the four-year bull market even after U.S. stocks suffered their biggest losses in six months.
8 minute read
April 21, 2008 | National Law Journal

Auction-rate securities suits rising

Investors holding securities tied to the stalled auction-rate market, which sets interest rates for certain types of bonds at periodic auctions, are filing lawsuits and arbitration proceedings alleging, among other things, that investors were deceived. Planitiffs' lawyer Ed Korsinsky said the involved investors thought they were buying something akin to a money market account, not securities.
6 minute read
November 15, 2012 | Daily Report Online

'Cautionary tale' shows risk of prosecution

On April 14, 2011, James Fan stood on the landing of a parking garage at Newark Liberty International Airport, a cheer-up letter from his young son in his pants pocket, the prospect of a four-story leap facing him.
20 minute read
June 18, 2010 | Law.com

Attorney Sentenced for Losing $2 Million From Client Trust Fund

A Southern California lawyer who lost more than $2 million from a class action settlement by investing client trust funds in the stock market has been sentenced to 18 months in prison. Sandeep Baweja of the Baweja Law Group in Irvine, Calif., pleaded guilty in October to one count of wire fraud and one count of obstruction of justice after confessing that he had clandestinely transferred $2.5 million from an account at Union Bank of California into an online stock brokerage account with TD Ameritrade Inc.
3 minute read
January 15, 2009 | New York Law Journal

New Deals

Citigroup Inc. and Morgan Stanley have announced a joint venture in which Morgan has agreed to take majority ownership of Citigroup's brokerage unit for $2.7 billion. Also, Online broker TD Ameritrade Holding Corporation has agreed to acquire thinkorswim Group Inc. in a $606 million cash and stock deal.
5 minute read
September 11, 2013 | Daily Business Review

TD Bank Doubles Advisers In Push For Wealthy Americans

Toronto-Dominion Bank is ramping up its U.S. asset-management business while doubling the number of advisers for wealthy American clients in an bid to accelerate profit.
6 minute read

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