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TD Securities (USA) Inc.

TD Securities (USA) Inc. (CRD #18476, New York, New York) was censured and fined $15,000. According to the complaint, the firm executed short-sale trades at or below the inside bid when the current inside bid was below the preceding inside bid in the security. Additionally, the regulators found that the firm failed to mark short on the short-sale order tickets. The firm also failed to establish, enforce and maintain adequate written supervisory procedures in order to achieve compliance with the short-sale rule. The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #CMS990122)

Did TD Securities (USA) Inc. manage your investments?

 

 

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