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Recent Posts in Scottrade Category

Regulator Charges Scottrade with Fiduciary Duty Rule Violation in Retirement Sales Contest Controversy

Massachusetts' Securities Division charged Scottrade, Inc. for violations of the federal fiduciary duty rule's impartial conduct provision, alleging that the firm engaged in dishonest and ...
Continue reading "Regulator Charges Scottrade with Fiduciary Duty Rule Violation in Retirement Sales Contest Controversy" »

Scottrade Fined $2.6 Million for Failing to Keep E-mails and Records, Poor Supervision

FINRA fined Scottrade, Inc. $2.6 million for failures related to its electronic records and e-mails: specifically, that the firm failed to retain a "large number" of securities-related ...
Continue reading "Scottrade Fined $2.6 Million for Failing to Keep E-mails and Records, Poor Supervision" »

Rush to Sell Overwhelms Brokerages, Shuts Online Clients Out from Transactions as Stocks Fall

Online customers of TD Ameritrade and Scottrade were locked out of their trading accounts during Monday's massive selloff causing a significant plunge in markets from the Dow Jones Industrial ...
Continue reading "Rush to Sell Overwhelms Brokerages, Shuts Online Clients Out from Transactions as Stocks Fall" »

Morgan Stanley & Scottrade Fined $950,000 for Failing to Detect Third-Party Wire Transfers due to Inadequate Supervisory Systems

FINRA fined Morgan Stanley Smith Barney, LLC and Scottrade, Inc. a combined $950,000 for the firms' failure to maintain reasonable supervisory systems to monitor for wire transfers out to ...
Continue reading "Morgan Stanley & Scottrade Fined $950,000 for Failing to Detect Third-Party Wire Transfers due to Inadequate Supervisory Systems" »
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The Law Offices of Jonathan W. Evans & Associates - California Securities Fraud Attorney
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