The Financial Industry Regulatory Authority (FINRA) announced today that it has fined TD Ameritrade Clearing, Inc. $1,150,000 and SG Americas Securities, Inc. $675,000 for failing to report or ...

DALLAS, March 28 /PRNewswire-FirstCall/ -- Southwest Securities, Inc. announced today that it has entered into an agreement with TD Ameritrade Holding Corporation and ...

OMAHA — A unit of online brokerage TD Ameritrade will pay $1.5 million to resolve concerns that it violated postal rules and received discounts the company wasn't entitled to. Nebraska's U.S. Attorney ...

With the flood of new regulations facing investment advisers, clearing and custody firms are taking on a larger supporting role for their clients, doing everything from lobbying in Washington to the ...

TD Ameritrade Holding Corp.'s $4 billion deal to buy Scottrade Financial Services Inc. may be a boon for the registered investment advisers in TD's network. The deal, announced Monday, adds about 800 ...

NEW YORK (Reuters) - Two hedge funds that control about 8.4 percent of TD Ameritrade Holding Corp. have told the online brokerage it should merge with E*Trade Financial Corp. or Charles Schwab Corp. .