一位投资者最近提出了一项对经纪交易商TD Ameritrade的金融业监管机构（FINRA）仲裁索赔，内容涉及GPB投资中遭受的损失。投资顾问通过TD Ameritrade Advisodect推荐了GPB Capital Holdings的私人位置®Referral Program.
GPB Capital Holdings LLC被指控经营超过1.7b美元的庞氏骗局，欺骗了17,000多名投资者。索赔人正在寻求50万美元的损失。
投资后损失金钱的投资者Aequitas Management LLC，，，，which is accused of running a $350M Ponzi scam, have arrived at a $234M settlement in their fraud case against EisnerAmp LLP, Deloitte & Touche LLP, TD Ameritrade, Duff & Phelps, Sidley Austin LLP, Integrity Bank and Trust of Colorado, and Tonkon Torp. The defendants are accused of playing a part in the plaintiff’s losses because of their purported involvement in the sale of Aequitas securities.
超过1,500名投资者共同投资了超过3.5亿美元的Aequitas证券，同时认为他们正在支持医疗保健，教育，运输和其他领域的贸易应收账款。bob200体育这个投资者欺诈案，Ciuffitelli等人诉Deloitte＆Touche LLP等人，是作为拟议集体诉讼提起的，并于三年前由俄勒冈州和加利福尼亚州的索赔人提起。
基于a抱怨brought also in 2016 by theUS Securities and Exchange Commission (SEC)，Aequitas被指控误导投资者，因为他们的资金参与了营利性教育公司科林斯大学的程度，该公司于2015年申请破产。监管机构被指控Aequitas成为科林斯人失败后成为Ponzi骗局的监管机构，该公司继续出售证券证券bob200体育for the purposes of paying back earlier investors and to support its executives’ expensive lifestyles.
美国证券交易委bob200体育员会正在命令TD Ameritrade Inc.（AMTD）即使经纪人停止与111名独立投资顾问开展业务，也因不提交强制性可疑活动报告（SARS）而支付50万美元的罚款。监管机构认为，由于发现自己的“不可接受的业务，信贷，运营，声誉或监管风险”，该公司与这些不是TD Ameritrade雇员的顾问结束了与这些不是TD Ameritrade雇员的业务关系顾客。
While the brokerage firm did submit a number of suspicious activity reports (SARs) regarding suspect transactions made by some of these advisers it had fired, it did not submit SARs reports on some of the other advisers with whom TD Ameritrade had also ended their business relationships.
The suspect activities at issue allegedly included suspicious trading—including moving losses from trade errors to clients—inappropriate money transfers, and making false and misleading statements to customers while serving as an investment adviser managing their TD Ameritrade accounts.
Investor Lawyers Blog