FINRA

FINRA Regulates Broker-Dealers, Capital Acquisition Brokers, and Funding Portals. A Broker Dealer is in the business of buying or selling securities on behalf of its customers or its own account or both.
TDA is aware of two different clients shares being removed from their TDA accounts. Gerald Worthen (sp) in "retail risk management" had hours of dialogue about liquidating these cash accounts. They claimed they closed the accounts due to "terms of service" "F", however, this does NOT explain why they only removed HMNY share from only one account. It does however disprove Geralds claim of why they closed the account. Again, the shares could not be moved due to not being able to DRS or get Certificates to move them to another Broker-Dealer. Rule 15c2-11 is a problem as well when you cant have buyers. I turn you back to TDA "terms of Service" "C" guarantee "M" worthless shares, as well as many other issues in the process. Furthermore, as well as the complaint filed with FINRA, FINRA Ombudsman Denzel, the DTCC, the SEC, and a few superstars like Lee Swell and Terry Kirby...

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