Securities Lawyers Blog
The securities attorneys at Gana Weinstein LLP represent investors in their disputes with brokerage firms, such as TD Arranged Services LLC. Our firm can analyze your accounts and investments in order to determine if there was any broker misconduct in the handling of your accounts. Our analysis can reveal whether an investor has been a victim of misconduct such as unsuitable investments, unauthorized trading, excessive trading, or investment fraud.
TD Arranged Services LLC is a TD broker-dealer that borrows and lends securities to facilitate swap transactions for clients of its affiliate Cowen Financial Products. Known as ATM Execution LLC until February 2025, the firm moved its algorithmic agency execution business to TD Securities (USA) in December 2024 and is part of Cowen within The Toronto-Dominion Bank.
TD Arranged Services LLC – By the Numbers:
- CRD #: 122529
- Regulatory Events: 13
- Broker Employees: 12
TD Arranged Services LLC – In the News:
FINRA v. TD Arranged Services LLC (Case #2024081420812) – Between December 2021 and December 2024, ATMC failed to establish, maintain, and enforce a supervisory system, including written supervisory procedures, reasonably designed to achieve compliance with rules and laws prohibiting manipulative trading, including prearranged and coordinated trading, momentum ignition trading, layering and spoofing, and marking the close, in violation of FINRA Rules 3110(a) and (b) and 2010. For these violations, Respondent is censured and fined $12,500.
Gana Weinstein LLP has successfully handled hundreds of customer investment disputes with their brokerage firms. Our attorneys can help you detect and uncover suspicious activity in your accounts. Our consultations are free and we welcome all inquiries.