Ameritrade settles inquiry for $150,000
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Online brokerage TD Ameritrade Holding Corp. paid $150,000 in December to settle a 2-year-old inquiry by securities regulators that prompted the Omaha-based company to withdraw an investment product.
Ameritrade disclosed the settlement Thursday in documents filed with the Securities and Exchange Commission.
The settlement ends an inquiry that the National Assn. of Securities Dealers began in November 2004, which forced Ameritrade to briefly delay filing its fiscal 2004 annual report.
“As far as we know, the entire issue is behind us,” an Ameritrade spokesman said Thursday.
Ameritrade shares fell 24 cents to $17.65.
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