Securities Lawyers Blog
Our law firm represents individual and institutional investors that have been mistreated by their brokers and brokerage firms, such as TD Private Client Wealth LLC. Many investors do not recognize broker misconduct in their accounts, and those that do are often hesitant to seek help. Broker misconduct spans many issues that violate industry rules, including unauthorized trading, breach of fiduciary duty, unsuitable asset allocation, and churning. The attorneys at Gana Weinstein LLP can analyze your accounts and investments to determine if there was misconduct in the handling of your account.
TD Private Client Wealth LLC is the TD Bank broker-dealer and investment adviser that provides brokerage, managed accounts, and automated investing programs to high net worth clients and institutions. Formed in Delaware in 2012, the firm is a wholly owned subsidiary of TD Bank, N.A. and offers its advisory services through five wrap fee programs.
TD Private Client Wealth LLC – By the Numbers:
- CRD #: 164484
- Regulatory Events: 3
- Broker Employees: 639
TD Private Client Wealth LLC – Investment Advisors:
- SEC #: 77771
- Assets Under Management: $8,574,585,303
- ADV Form Employee: 671
TD Private Client Wealth LLC – In the News:
FINRA v. TD Private Client Wealth LLC (Case #2019064801101) – From February 2013 through July 2022, TDPCW failed to establish and maintain a supervisory system, including written procedures, reasonably designed to achieve compliance with the firm’s obligation to review correspondence and internal communications. As a result, the firm failed to review approximately 3.5 million emails related to 691 employee accounts. Accordingly, the firm violated NASD Rule 3010 and FINRA Rules 3110 and 2010.
Our attorneys have successfully represented hundreds of investors in investment disputes with their brokers and brokerage firms. Our consultations are free and we welcome all inquiries.