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Recent Posts in TD Ameritrade Category

Joseph Farah Barred for Unsuitable and Excessive Trading, Undisclosed Outside Business Activity, and Misrepresentations

FINRA barred Joseph C. Farah, formerly of Gold Coast Securities in Irvine, California, for excessive and unsuitable trading in a customer's account, failing to notify his firm of discretionary ...
Continue reading "Joseph Farah Barred for Unsuitable and Excessive Trading, Undisclosed Outside Business Activity, and Misrepresentations" »

FINRA Investigating Joseph Farah for Churning, Suitability, Undisclosed Outside Business Activities, Misrepresentations

FINRA charged Gold Coast Securities (Irvine, CA) broker Joseph C Farah with churning, excessive trading, suitability, undisclosed outside business activities, material misrepresentations, and ...
Continue reading "FINRA Investigating Joseph Farah for Churning, Suitability, Undisclosed Outside Business Activities, Misrepresentations" »

Christopher Ariola Charged with Unsuitable Energy Recommendations to Elderly Clients, Undisclosed Trading

A complaint filed against Christopher Basile Ariola, formerly of Bay Mutual Financial in Santa Monica and Financial Telesis, Inc. of Aliso Viejo, California, accuses the SoCal broker of making a ...
Continue reading "Christopher Ariola Charged with Unsuitable Energy Recommendations to Elderly Clients, Undisclosed Trading" »

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" »

FINRA Bars Steven Yi for Failure to Provide Information

FINRA barred broker Steven Yi of San Diego, California for failing to respond to FINRA's repeated requests for information pertaining an investigation into a customer complaint against Yi while he ...
Continue reading "FINRA Bars Steven Yi for Failure to Provide Information" »
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