Prosecution Insights
Last updated: April 19, 2026

Harness Dickey (Td Ameritrade)

11 pending office actions • 2 clients

Portfolio Summary

11
Total Pending OAs
3
Final Rejections
8
Non-Final OAs

Client Portfolio (2 clients)

Client (Assignee)Pending OAs
Charles Schwab & Co., Inc. 10
Charles Schwab & Co., Inc. 1

Pending Office Actions

App #TitleClientExaminerArt UnitStatusFiled
19022409 SYSTEM AND METHOD FOR TRADING SECURITIES USING PORTFOLIOS DEFINED BY AN ADVISOR Charles Schwab & Co., Inc. TRAN, HAI 3695 Non-Final OA Jan 15, 2025
18961567 SYSTEM AND METHOD FOR AUTHENTICATING USERS USING WEAK AUTHENTICATION TECHNIQUES, WITH DIFFERENCES FOR DIFFERENT FEATURES Charles Schwab & Co., Inc. MALINOWSKI, WALTER J 2439 Non-Final OA Nov 27, 2024
18939762 SYSTEMS AND METHODS FOR CONFIGURABLE ORDERED TRANSFORMATION OF DATABASE CONTENT Charles Schwab & Co., Inc. FERRER, JEDIDIAH P 2153 Non-Final OA Nov 07, 2024
18927350 SYSTEM AND METHOD FOR DOCUMENT REVIEW AND APPROVAL Charles Schwab & Co., Inc. SINGH, RUPANGINI 3628 Final Rejection Oct 25, 2024
18891323 APPARATUS FOR DETECTING AND HANDLING ANOMALOUS BEHAVIOR BY USERS AND OTHER ENTITIES Charles Schwab & Co., Inc. LIU, I JUNG 3695 Non-Final OA Sep 20, 2024
18822743 METHODS, APPARATUSES, SYSTEMS, AND NON-TRANSITORY COMPUTER READABLE MEDIUMS FOR DETECTING FRAUD DURING USER AUTHENTICATION PROCESSES Charles Schwab & Co., Inc. SKIRVIN, NATHANIEL CHRISTIAN 2498 Non-Final OA Sep 03, 2024
18783716 SYSTEM AND METHOD FOR MANAGING FRACTIONAL SHARES OF EXCHANGE TRADED FUNDS IN RETIREMENT PLANS Charles Schwab & Co., Inc. BORLINGHAUS, JASON M 3692 Non-Final OA Jul 25, 2024
18677155 SYSTEM AND METHOD FOR OPERATING A FAMILY OF MUTUAL FUNDS OR ETFS Charles Schwab & Co., Inc. TRAN, CHRISTINE M 3695 Final Rejection May 29, 2024
18673961 SYSTEM AND METHOD FOR DISPLAYING ORDER STATUS AND RECEIVING AND CHANGING ORDERS Charles Schwab & Co., Inc. KAZIMI, HANI M 3691 Non-Final OA May 24, 2024
18449266 SEARCH SPACE MINIMIZATION FOR COMPUTERIZED TIME-SERIES DATA FORECASTING SYSTEM Charles Schwab & Co., Inc. FU, HAO 3695 Final Rejection Aug 14, 2023
18365525 SYSTEM AND METHOD FOR LIMITING PROJECT MANAGEMENT RISK Charles Schwab & Co., Inc. WHITAKER, ANDREW B 3629 Non-Final OA Aug 04, 2023

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