Basic Search  |  Summaries  |  Advanced Search

Violation Tracker Current Parent Company Summary

Current Parent Company Name: Toronto-Dominion Bank
Ownership Structure: publicly traded (ticker symbol TD)
Headquartered in: Canada
Major Industry: financial services
Specific Industry: banking
Penalty total since 2000: $3,984,733,001
Number of records: 49
Top 5 Offense Groups (Groups Defined)Penalty TotalNumber of Records
financial offenses$3,402,604,27425
consumer-protection-related offenses$475,755,00014
competition-related offenses$80,133,3333
employment-related offenses$26,240,3947
Top 5 Primary Offense TypesPenalty TotalNumber of Records
anti-money-laundering deficiencies$3,093,945,7804
consumer protection violation$474,280,00012
investor protection violation$270,527,38418
fraud$59,300,0002
banking violation$37,500,0001
Notes: Parent-subsidiary linkages are based on relationships current as of the latest revision listed in the Update Log, which may vary from what was the case when a violation occurred. The penalty totals are adjusted to account for the fact that the individual entries below may include both agency records and settlement announcements for the same case; or else a penalty covering multiple locations may be listed in the individual records for each of the facilities. The totals are also adjusted to reflect cases in which federal and state or local agencies cooperated and issued separate announcements of the outcome. Duplicate or overlapping penalty amounts are marked with an asterisk in the list below.

Links: For a summary of this company's regulatory penalties in more than 50 other countries, see its Violation Tracker Global summary page here.

Subsidy Tracker data on financial assistance to this company by federal, state and local government agencies can be found here.

Individual Penalty Records:

Click on the company or penalty amount for more information on each case.

Download results as CSV or XML or Save your search (Click here for information on download subscriptions)
CompanyPrimary Offense Type sort iconYearAgencyPenalty Amount
TD Waterhouse Investor Services, Inc.wage and hour violation2005WHD$55,208
TD Bankwage and hour violation2015private lawsuit-federal$9,900,000
TD Bankwage and hour violation2014private lawsuit-federal$6,000,000
TD Bankwage and hour violation2013private lawsuit-federal$975,000
TD Bankwage and hour violation2010private lawsuit-federal$375,000
TD Bank, N.A.wage and hour violation2024private lawsuit-federal$8,930,186
TD Bankprivacy violation2014MA-AG$625,000
TD Bank, N.A.privacy violation2014MULTI-AG$850,000
TD Securities (USA) LLCprice-fixing or anti-competitive practices2020private lawsuit-federal$20,833,333
TD Banknorthlabor relations violation2006NLRB$5,000
ConvergEx Groupinvestor protection violation2013SEC$107,424,429
TD Bankinvestor protection violation2013SEC$15,000,000
TD Waterhouse Investor Services, Inc.investor protection violation2004SEC$2,000,000
SG Cowen & Co., LLC f/k/a SG Cowen Securities Corporationinvestor protection violation2004SEC$125,000
SG Cowen Securities Corporationinvestor protection violation2003SEC$5,000,000
TD Securities (USA) LLCinvestor protection violation2016SEC$500,000
TD Options LLCinvestor protection violation2009SEC$1,000,000
Convergex Execution Solutions LLCinvestor protection violation2018SEC$2,750,000
Cowen and Company, LLCinvestor protection violation2008FINRA$150,000
SG Cowen, LLCinvestor protection violation2004FINRA$800,000
TD Waterhouse Investor Services, Inc.investor protection violation2004FINRA$150,000
TD Securities (USA) LLCinvestor protection violation2022SEC$152,955
Toronto Dominion Bankinvestor protection violation2024CFTC$4,000,000
Toronto Dominion Bankinvestor protection violation2024CFTC$78,000,000
TD Securities (USA) LLCinvestor protection violation2024SEC$30,000,000
Cowen and Company, LLCinvestor protection violation2024SEC$16,500,000
TD Securities (USA) LLCinvestor protection violation2024SEC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $6,900,000
TD Private Client Wealth, LLCinvestor protection violation2024SEC$475,000
ConvergEx Group LLCfraud2014DOJ_CRIMINAL$43,800,000
TD Securities (USA) LLCfraud2024DOJ_CRIMINAL$15,500,000
Toronto-Dominion Bankeconomic sanction violation2017OFAC$516,105
TD Bank, N.A.economic sanction violation2021OFAC$115,005
TD Bank, N.A.consumer protection violation2020CFPB$122,000,000
TD Bank N.A.consumer protection violation2023private lawsuit-federal$2,250,000
TD Bank N.A.consumer protection violation2022private lawsuit-federal$4,245,000
TD Bank N.A.consumer protection violation2022private lawsuit-federal$41,500,000
TD Bank N.A.consumer protection violation2020private lawsuit-federal$70,000,000
TD Bank N.A.consumer protection violation2013private lawsuit-federal$62,000,000
TD Bank, N.A.consumer protection violation2017private lawsuit-federal$500,000
TD Bank N.A.consumer protection violation2023private lawsuit-federal$11,900,000
TD Bank N.A.consumer protection violation2023private lawsuit-federal$4,900,000
TD Bankconsumer protection violation2024CFPB$27,760,000
TD Bank, N.A.consumer protection violation2024private lawsuit-federal$32,225,000
TD Bankconsumer protection violation2024private lawsuit-federal$95,000,000
TD Bank, National Associationbanking violation2013OCC$37,500,000
TD Bank N.A.anti-money-laundering deficiencies2024DOJ_CRIMINAL(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,886,945,780
TD Bank N.A.anti-money-laundering deficiencies2024FINCEN$757,000,000
TD Bank N.A.anti-money-laundering deficiencies2024OCC$450,000,000
Toronto-Dominion Bankanti-money-laundering deficiencies2024FED$123,500,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.