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Re: DD-214 post# 53434

Sunday, 12/06/2009 8:18:19 PM

Sunday, December 06, 2009 8:18:19 PM

Post# of 103340
i have tdameritrade and i did not receive anything from them like the post from 5star did anyone else receive this from tda? just curious
mrmoe3

Posted by: fivestar Date: Saturday, December 05, 2009 12:03:47 PM
In reply to: None Post # of 53633

just received this, re: TDA..


The following are some of the reasons a stock may be restricted to Closing Transactions.:

1. Corporate Actions in which a lack of information, confusing terms, or unclear objectives may be involved. All corporate actions should be transparent as to objectives.
2. Apparent or possible fraudulent activity by a company or its officers, with potentially manipulative actions to affect a stock price.
3. Frequent unsubstantiated press releases in an attempt to affect the stock's price.
4. Deceptive or contradictory statements regarding past or projected performance.
5. Corporate Identity Theft
6. Valid companies associated with 3rd parties (i.e. transfer agents, consultants, etc) that have shown a predisposition to any of the above activities.
7. Companies known or suspected to be involved in Money Laundering activity