AMERITRADE INC.

Regulator action

United States. Named in 3 sanctions listings.

Sanctions and listings3

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/03/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT 20050002093-01 TO: Department of Market Regulation NASD RE: Ameritrade, Inc., Respondent CRD No. 5633 Pursuant to Rule 9216 of NASD Code of Procedure, Ameritrade, Inc. ("FOMA" or the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted
Reference 2005000209301data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/27/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. ## 20050016221-01 TO: Department of Market Regulation NASD RE: Ameritrade, Inc., Respondent CRD No. 5633 Pursuant to Rule 9216 of NASD Code of Procedure, Ameritrade, Inc. ("FOMA" or the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that
Reference 2005001622101data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/29/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E0420040450-01 To: Department of Enforcement NASD Re: Ameritrade, Inc, Member (BD No. 5633) Pursuant to Rule 9216 of NASD Code of Procedure Ameritrade, Inc, (Ameritrade)' submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged
Reference E042004045001data-portal.finra.org finra.org

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.