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Registered Rep.
June 3, 2009
David Geracioti |
ARS Games -- SEC Blames Firms, Settles with BAC, RBC and DEUTSCHE When the auction rate securities market froze up in February 2008, angry clients blamed their financial advisors.   |
Registered Rep.
June 29, 2011
Kristen French |
Raymond James Hit With $300 million ARS Settlement; Pay Back For All ARS Clients The company has agreed to a multi-state settlement that will require the firm to buy back $300 million in auction rate securities it sold to clients prior to the collapse of the ARS market in February of 2008. |
Registered Rep.
December 11, 2008 |
SEC Finalizes $30 Billion ARS Settlement With Citi And UBS The $30 billion settlement is the largest in SEC history and restores liquidity to ARS investors at par value of their holdings. |
Registered Rep.
November 8, 2011
Jerry Gleeson |
Auction Rate Revenge For tens of thousands of investors who were trapped in the auction rate securities debacle that started in 2008, finances are getting back to normal. |
The Motley Fool
December 23, 2009
Robert Steyer |
The Daily Walk of Shame: Auction Rate Securities Auction rate securities were promoted as being as safe as CDs, but when the ARS soured in early 2008 and customers wanted their money back, promoters said the accounts were frozen. |
Registered Rep.
August 7, 2008
John Churchill |
Citi Settles With SEC and Cuomo Over ARS Failure The firm has agreed to buy back auction rate securities sold to institutional and retail investors nationwide who've been stuck with the illiquid investment vehicles since February 12, 2008. |
Registered Rep.
September 10, 2008 |
Bank of America to Buy Its ARs Back The nation's second-largest bank by assets settled an investigation by Massachusetts regulators, agreeing to buy back $4.5 billion worth of the securities. |
Registered Rep.
May 1, 2008
David Geracioti |
The Auction-Rate Mess And You Many retail investors have recently learned the hard way that auction-rate securities aren't as safe as they thought. |
On Wall Street
October 1, 2008
Donna Mitchell |
Auction-Rate Securities Dust Settles, But What About Small Brokerages? Observers expect red faces as regional brokerage customers are left out of the settlements and advisors better prepare for some harsh words. |
Registered Rep.
October 8, 2008 |
Bank of America Reaches Second Settlement To Buy Back ARS The agreement closely mirrors the firm's earlier settlement with the Massachusetts Securities Division that was announced in September, 2008. |
Registered Rep.
September 3, 2008
John Churchill |
Brokers Charged In Fraudulently Selling $1bn Of ARS To Retail Clients In the first case of its kind, the SEC announced today that it has charged two individual financial advisors with fraud related to the sale of more than $1 billion in auction-rate securities. |
CFO
July 15, 2009
Vincent Ryan |
Buyer's Remorse Treasury departments are still paying a price for auction-rate securities. |
Registered Rep.
June 1, 2006
Kristen French |
60 Seconds with Tom Bradley In this interview, the president of the Institutional division of TD Ameritrade talks about his opinion of the new broker/dealer exemption. |
Registered Rep.
July 31, 2008
John Churchill |
Massachusetts Says Merrill Defrauded ARS Clients Among the many claims against Merrill Lynch is that management censored otherwise gloomy fixed income research in order to move volatile inventory out of company inventory and into client portfolios. |
Registered Rep.
June 26, 2008
John Churchill |
Tough Morning For Brokerage Sector Stomachs are surely turning at the wirehouse brokerage firms this morning. |
Registered Rep.
October 1, 2006
John Churchill |
TD Ameritrade Wins Luxury Brand Ranking Every brokerage firm is courting wealthy clients, and many of them say that serving the wealthy is what they do best. So just how are these firms doing? |
The Motley Fool
January 19, 2011
Sean Williams |
TD AMERITRADE: Bargain Buy or Value Trap? TD AMERITRADE has already had a very impressive run off its September lows, so the question now becomes: Does it have what it takes to continue to grow while its competitors languish? |
Registered Rep.
March 15, 2012
Kristen French |
Due Diligence: Step Back Rakoff, SEC-Citigroup Settlement Could Stand Judge Jed Rakoff may have overstepped his authority, said a federal appeals court today. In a procedural decision, the court wrote that the Securities and Exchange Commission has a good chance of overturning Rakoff's rejection of a $285 million SEC settlement with Citigroup. |
Financial Planning
July 1, 2006
Marshall Eckblad |
Chalk One Up for RIAs According to a recent survey, a majority of investors believe stockbrokers and investment advisers owe the same fiduciary responsibilities to their clients. |
The Motley Fool
April 18, 2008
Rich Duprey |
Auction Rate Agony Investors get frozen out of their money as auction rate securities shrivel. |
Investment Advisor
March 2008
Kathleen M. McBride |
A Fortified TD Ameritrade There's lots of support for the fiduciary advisor-client relationship at the newly strengthened TD Ameritrade. |
Registered Rep.
June 9, 2008 |
Credit Downgrades, More Write-Downs And The ARS Market Credit downgrades to MBIA and AMBAC Financial Group, the world's largest bond insurers, will lead to more write-downs at Citigroup, Merrill Lynch and UBS, according to a new research report. |
The Motley Fool
April 8, 2008
Rich Smith |
Psst. Buddy. Wanna Buy a Bond? Auction-rate securities should make investors feel anything but secure. |
Investment Advisor
August 2006
Kathleen M. McBride |
B/d Briefing: A New Regulatory Framework? In a move that may be the opening salvo in a fight for unified investor protection rules, the SEC is seeking information from potential contractors to conduct a study about how investments and advice are marketed to individual investors. |
The Motley Fool
November 15, 2011
Dan Caplinger |
Has TD AMERITRADE Become the Perfect Stock? Eventually, a turn in interest rates should help boost TD AMERITRADE's profits. |
Registered Rep.
June 23, 2005
Kristen French |
Ameritrade Deal Creates a Stronger Competitor in the Advisory Business Ameritrade will acquire TD Waterhouse rather than accept a takeover offer from E*Trade. |
Investment Advisor
May 2007
Melanie Waddell |
Victory for the FPA The U.S. Court of Appeals for the D.C. Circuit overturned the SEC's Merrill rule. |
Registered Rep.
May 8, 2008 |
UBS Needs A Lift Ticket UBS is facing serious scrutiny by the Securities and Exchange Commission and the Department of Justice to determine whether or not the bank aided clients in committing tax evasion from 2000 to 2007. |
Registered Rep.
May 14, 2007
John Churchill |
"Merrill Lynch" Rule Dead, But SEC to Ask for Time The securities industry still hopes that the SEC will somehow come up with a new plan to keep the fee-based brokerage account from coverage by the Investment Advisers Act of 1940, which mandates that to offer financial advice, you have to be a fiduciary. |
The Motley Fool
August 20, 2009
Tim Beyers |
Should Your Broker Pay for Your Losses? When New York Attorney General Andrew Cuomo on Monday sued Charles Schwab for allegedly misrepresenting the risks inherent with auction-rate securities, he sent a message: Take care to warn investors early and often, or suffer the consequences. Is this a good idea? |
Investment Advisor
July 2007
Green & Keane |
TD Ameritrade to Acquire Fiserv's Advisor Unit Under the complicated deal that will break up Fiserv ISS, TD Ameritrade will pay $225 million in cash for the operation. |
The Motley Fool
October 27, 2010
Andrew Bond |
TD Ameritrade's Third-Quarter Miss Is More of the Same The discount brokerages have all been hurt by low trading volumes and interest rates. |
The Motley Fool
April 19, 2011
Andrew Bond |
TD AMERITRADE Improves, But Investor Confidence Remains Key It had a strong quarter, but will investor confidence be shaken by S&P announcement? |
The Motley Fool
November 11, 2011
John Reeves |
Banks Promise Not to Commit Fraud ... Until Next Time Banks have been signing pledges that they do not follow through on. |
The Motley Fool
July 12, 2005
Alyce Lomax |
Has Ameritrade Got It Made? The online broker thrives despite industry upheaval. Investors received more good news from the online brokerage's forecast of a "record year" of results, with predicted fiscal 2005 earnings of $0.75 to $0.80 per share. |
The Motley Fool
December 19, 2007
Rick Aristotle Munarriz |
Where the Trades Are Td AMERITRADE boosts its guidance for the current quarter, leading to speculation that it is gaining investors who have left E*Trade over concerns about that company's recent sale of its assets. |
The Motley Fool
May 31, 2005
Seth Jayson |
Merger, My Sweet Ameritrade stops playing hard to get and puts on some moves of its own. In the end, this is still an industry where revenues and earnings cycle with fickle investor sentiment and where pricing is going to continue to drop as time goes on. Buy the business accordingly. |
The Motley Fool
October 23, 2007
Rick Aristotle Munarriz |
Which Discount Broker Should You Buy? TD AMERITRADE turns in a very healthy fourth-quarter, due to higher margins and the summer's trading volatility. |
Financial Planning
August 1, 2005
Bob Hirschfeld |
TD Ameritrade's Good Deal The merger of the two online broker-dealers will transform the new firm into a top contender. |
InternetNews
October 23, 2006
Ed Sutherland |
Online Brokers Hit By Fraudsters SEC and other regulators investigate millions in losses of E*Trade and TD Ameritrade customers. |
Financial Advisor
February 2011
Evan Simonoff |
A Different Playing Field Regulatory reform is at the top of RIAs' minds going into 2011. |
Investment Advisor
April 2009
James J. Green |
B/D Briefing: Calm Before the Storm? A new report found that the average securities class action settlement was halved in 2008, but the authors of Securities Class Action Settlements: 2008 Review and Analysis, caution that the reported decrease doesn't constitute a trend. |
CFO
June 1, 2009
Reason & Stuart |
Crackdown Alert After a GAO report documents a slowdown in the SEC's case generation and penalty volume under former chairman Christopher Cox, the regulator's new leaders talk tough. |
The Motley Fool
January 9, 2007
Rich Duprey |
Foolish Forecast: The Ticker on TD Ameritrade The discount broker is set to report first-quarter 2007 results. Here's what investors can expect to see. |
The Motley Fool
January 20, 2009
Rick Aristotle Munarriz |
Keep Trading, America TD AMERITRADE has a mixed quarter as it hoses down its outlook. |
The Motley Fool
January 17, 2008
Rick Aristotle Munarriz |
Can Your Broker Do This? Discount broker TD AMERITRADE kicks off fiscal 2008 in fine fashion, with first-quarter profits soaring. |
Registered Rep.
January 27, 2010
David A. Geracioti |
The SEC "Reforms" Money Market Funds but Votes to Allow Funds to Suspend Redemptions So now the SEC can decide when your client may take his or her money out of an investment? |
Investment Advisor
August 2006 |
Group Think The Investment Company Institute's president applauded the SEC for its decision to issue guidance... The National Association of Personal Financial Advisors (NAPFA) has presented its 2006 Special Achievement Award... etc. |
The Motley Fool
January 16, 2007
Rick Aristotle Munarriz |
Going Long on AMERITRADE The market's hot, and so are the discount brokers. TD Ameritrade came through with a better-than-expected quarterly report. Investors, take note. |
On Wall Street
October 1, 2009
Thomas O. Gorman |
SEC v. Bank of America: Where to Go From Here? The SEC thought it had completed an investigation, brought an enforcement action and then settled it. |
