This spring, the California Department of Financial Protection & Innovation entered into a consent order with TD Ameritrade, Inc. The consent order was based on the Department’s conclusion that TD Ameritrade, Inc. had charged commissions in excess of 5% on certain small principal equity transactions during the period of approximately June 30, 2018 to June 30, 2023. I questioned the consent order because as far as I could determine TD Ameritrade, Inc. no longer exists. As I noted in this post, the Department could not, or would not, answer my question - was Ameritrade “still a corporate entity when it signed the consent order?”
This page did not load. You can still read it on the original site — the toolbar below keeps your place in the directory.
Beware of treating merged-out entities as if they continue to exist
Comments
Nothing yet. Say the first thing.
Sign in to join the conversation.