Home
Forms Library
California Department of Corporations-Consent Order E*TRADE Securities LLC

California Department of Corporations-Consent Order E*TRADE Securities LLC 2025

California Department of Corporations-Consent Order E*TRADE Securities LLC Preview on Page 1

Show details

4.7 out of 5

29 votes

The document is a Consent Order involving E*TRADE Securities LLC, a broker-dealer registered in California, related to its sale of auction rate securities (ARS). Following investigations by a multi-state task force, E*TRADE agreed to purchase certain ARS from customers and pay penalties totaling $1,095,015.21. The order outlines findings of fact regarding the company's practices and failures in supervising financial advisors who marketed ARS as liquid investments without adequately disclosing the risks associated with them. The order also details measures E*TRADE must take to assist affected customers and comply with regulatory requirements.

Here's how it works

01. Edit your form online

Type text, add images, blackout confidential details, add comments, highlights and more.

02. Sign it in a few clicks

Draw your signature, type it, upload its image, or use your mobile device as a signature pad.

03. Share your form with others

Send it via email, link, or fax. You can also download it, export it or print it out.

The best way to edit California Department of Corporations-Consent Order E*TRADE Securities LLC online

Ease of Setup

DocHub User Ratings on G2

Ease of Use

DocHub User Ratings on G2

With DocHub, making changes to your documentation takes only some simple clicks. Follow these fast steps to edit the PDF California Department of Corporations-Consent Order E*TRADE Securities LLC online for free:

Sign up and log in to your account. Log in to the editor with your credentials or click Create free account to evaluate the tool’s capabilities.
Add the California Department of Corporations-Consent Order E*TRADE Securities LLC for redacting. Click the New Document option above, then drag and drop the file to the upload area, import it from the cloud, or using a link.
Modify your file. Make any changes needed: insert text and pictures to your California Department of Corporations-Consent Order E*TRADE Securities LLC, highlight information that matters, erase sections of content and replace them with new ones, and insert symbols, checkmarks, and fields for filling out.
Complete redacting the form. Save the updated document on your device, export it to the cloud, print it right from the editor, or share it with all the people involved.

Our editor is very intuitive and effective. Try it now!

be ready to get more

Complete this form in 5 minutes or less

Get form

Got questions?

We have answers to the most popular questions from our customers. If you can't find an answer to your question, please contact us.

How much money do you need for an etrade account?

Service charges apply for trades placed through a broker ($25). Stock plan account transactions are subject to a separate commission schedule. All fees and expenses as described in a funds prospectus still apply. Additional regulatory and exchange fees may apply.

Why is Etrade charging me?

The Bottom Line. E*TRADE and Fidelity are both very reputable online brokerages, and many investors find that their investing needs are met by either company. Fidelity was ranked as our best option for most investors due to the companys low costs, low margin rates, and access to international trading.

Who regulates securities in California?

The DFPI regulates all offers and sales of securities in California. Through registration and oversight, DFPI supports a healthy and trusted financial marketplace.

What is e * trade securities LLC?

E*TRADE Securities LLC provides institutional brokerage services. The Company offers security-underwriting, trading, and investment banking solutions, as well as sells securities such as stocks, mutual funds, and bonds. E*TRADE Securities serves clients in the United States.

What is e-trade securities LLC?

It all starts with $0 commissions for online US-listed stock, ETF, mutual fund, and options trades. And there are no account minimums or maintenance fees.

Try more PDF tools