{"id":29390,"date":"2023-06-29T21:46:08","date_gmt":"2023-06-30T02:46:08","guid":{"rendered":"https:\/\/www.investorlawyers.com\/blog\/?p=29390"},"modified":"2023-06-29T21:46:08","modified_gmt":"2023-06-30T02:46:08","slug":"broker-omissions-attorney","status":"publish","type":"post","link":"https:\/\/www.investorlawyers.com\/blog\/broker-omissions-attorney\/","title":{"rendered":"Broker Omissions Attorney"},"content":{"rendered":"<p><strong>Are You an Investor Who Suffered Losses in Callable Securities?<\/strong><\/p>\n<p><strong>FINRA Fines TD Ameritrade $500K for Making Omissions To Millions of Customers<\/strong><\/p>\n<p>The Financial Industry Regulatory Authority (<a href=\"https:\/\/www.finra.org\/\" target=\"_blank\" rel=\"noopener\">FINRA<\/a>) announced that it has fined TD Ameritrade Clearing Inc. $500K for its failure to fully disclose information about callable securities (including preferred securities and exchange-traded notes) to millions of customers over a period of five years. The alleged\u00a0<a href=\"https:\/\/www.investorlawyers.com\/misrepresentations-and-omissions.html\">omissions<\/a>\u00a0are believed to involve nearly 10 million transactions in which the broker-dealer didn\u2019t fully disclose, as required, that the securities involved were callable.<\/p>\n<div class=\"read_more_link\"><a href=\"https:\/\/www.investorlawyers.com\/blog\/broker-omissions-attorney\/\"  title=\"Continue Reading Broker Omissions Attorney\" class=\"more-link\">Continue Reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"<p>Are You an Investor Who Suffered Losses in Callable Securities? FINRA Fines TD Ameritrade $500K for Making Omissions To Millions of Customers The Financial Industry Regulatory Authority (FINRA) announced that it has fined TD Ameritrade Clearing Inc. $500K for its failure to fully disclose information about callable securities (including preferred securities and exchange-traded notes) to [&hellip;]<\/p>\n","protected":false},"author":2,"featured_media":29409,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"jetpack_post_was_ever_published":false,"footnotes":""},"categories":[4906,4905,3762,4055],"tags":[4907],"class_list":["post-29390","post","type-post","status-publish","format-standard","has-post-thumbnail","hentry","category-broker-omissions","category-broker-omissions-attorney","category-current-investigations","category-featured-investigation","tag-broker-omissions-attorney"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v27.4 - https:\/\/yoast.com\/product\/yoast-seo-wordpress\/ -->\n<title>Broker Omissions Attorney<\/title>\n<meta name=\"description\" content=\"Broker Omissions Attorney\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.investorlawyers.com\/blog\/broker-omissions-attorney\/\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:title\" content=\"Broker Omissions Attorney\" \/>\n<meta name=\"twitter:description\" content=\"Broker Omissions Attorney\" \/>\n<meta name=\"twitter:image\" content=\"https:\/\/www.investorlawyers.com\/blog\/wp-content\/uploads\/2023\/06\/Broker-Omissions-Attorney.jpg\" \/>\n<meta name=\"twitter:label1\" content=\"Written by\" \/>\n\t<meta name=\"twitter:data1\" content=\"Shepherd Smith Edwards &amp; Kantas, LLP\" \/>\n\t<meta name=\"twitter:label2\" content=\"Est. reading time\" \/>\n\t<meta name=\"twitter:data2\" content=\"3 minutes\" \/>\n<!-- \/ Yoast SEO plugin. -->","yoast_head_json":{"title":"Broker Omissions Attorney","description":"Broker Omissions Attorney","robots":{"index":"index","follow":"follow","max-snippet":"max-snippet:-1","max-image-preview":"max-image-preview:large","max-video-preview":"max-video-preview:-1"},"canonical":"https:\/\/www.investorlawyers.com\/blog\/broker-omissions-attorney\/","twitter_card":"summary_large_image","twitter_title":"Broker Omissions Attorney","twitter_description":"Broker Omissions Attorney","twitter_image":"https:\/\/www.investorlawyers.com\/blog\/wp-content\/uploads\/2023\/06\/Broker-Omissions-Attorney.jpg","twitter_misc":{"Written by":"Shepherd Smith Edwards &amp; Kantas, LLP","Est. reading time":"3 minutes"},"schema":{"@context":"https:\/\/schema.org","@graph":[{"@type":"Article","@id":"https:\/\/www.investorlawyers.com\/blog\/broker-omissions-attorney\/#article","isPartOf":{"@id":"https:\/\/www.investorlawyers.com\/blog\/broker-omissions-attorney\/"},"author":{"name":"Shepherd Smith Edwards &amp; 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