Friday, February 26, 2010 1:46:22 PM
Sent it & it wasn't easy to hold back on this one.
Sent: Friday, February 26, 2010 1:43 PM
To: 'Ombudsman's Office'
Subject: FINRA File ID 20090209475 Failure to deliver & manipulation TDA customers & shareholders of SYNJ could use your help. Mariann Miller
Hello Mariann,
Thanks for forwarding the telephone number a few days ago, but it didn’t do any good.
I was optimistic that something could be done through FINRA. Especially since TDA is a member of
of FINRA & is not complying with the day to day business practices that is mentioned.
Do not misunderstand me when I say some FINRA employees just don't follow through.
I have had your co-operation all through this, but once it goes to a different level it doesn’t seem
to warrant any attention if you will.
TDA customers have not been paid the restricted share dividend, plain & simple. TDA owes that
to all SYNJ shareholders of that respective date and is the only broker NOT to pay it.
Then TDA gives customers all kind of stories as to why it hasn’t been paid, each different I may add
while they trying to satisfy the problem expeditiously.
Now they have gone to a generic statement recently, not to mention restricting the purchase of the stock
and Scott Trade has done the same.
Something is absolutely wrong here. I have a question also pertaining to Roger Riney who is the CEO of
Scott Trade and also sits on the board of (NITE) Knight Capital Group Inc.
It appears to many of us that there is a large conflict of interest there.
Why is that allowed?
Sent: Friday, February 26, 2010 1:43 PM
To: 'Ombudsman's Office'
Subject: FINRA File ID 20090209475 Failure to deliver & manipulation TDA customers & shareholders of SYNJ could use your help. Mariann Miller
Hello Mariann,
Thanks for forwarding the telephone number a few days ago, but it didn’t do any good.
I was optimistic that something could be done through FINRA. Especially since TDA is a member of
of FINRA & is not complying with the day to day business practices that is mentioned.
Do not misunderstand me when I say some FINRA employees just don't follow through.
I have had your co-operation all through this, but once it goes to a different level it doesn’t seem
to warrant any attention if you will.
TDA customers have not been paid the restricted share dividend, plain & simple. TDA owes that
to all SYNJ shareholders of that respective date and is the only broker NOT to pay it.
Then TDA gives customers all kind of stories as to why it hasn’t been paid, each different I may add
while they trying to satisfy the problem expeditiously.
Now they have gone to a generic statement recently, not to mention restricting the purchase of the stock
and Scott Trade has done the same.
Something is absolutely wrong here. I have a question also pertaining to Roger Riney who is the CEO of
Scott Trade and also sits on the board of (NITE) Knight Capital Group Inc.
It appears to many of us that there is a large conflict of interest there.
Why is that allowed?
