Violation Tracker Parent Company Summary

Parent Company Name: 
TD Ameritrade
Ownership Structure: 
publicly traded (ticker symbol AMTD)
Headquartered in: 
Nebraska
Major Industry: 
financial services
Specific Industry: 
financial services
Penalty total since 2000: 
$16,550,800
Number of records: 
6
Top 10 Primary Offense TypesPenalty TotalNumber of Records
financial institution supervision failures$10,000,0001
data submission deficiencies$2,500,0001
wage and hour violation$2,500,0001
investor protection violation$1,550,8003
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 dollar total above may be adjusted to account for the fact that the list of 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. Duplicate penalty amounts are marked with an asterisk in the list below.

Associated Names: 

SCOTTRADE; TD AMERITRADE

Links: 

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.
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Company Primary Offense Type Year Agency Penalty Amountsort icon
TD Ameritrade Inc. financial institution supervision failures 2011 SEC $10,000,000
Scottrade data submission deficiencies 2014 SEC $2,500,000
TD Ameritrade wage and hour violation 2009 private lawsuit-federal $2,500,000
Scottrade, Inc. investor protection violation 2008 SEC $950,000
TD Ameritrade, Inc. investor protection violation 2018 SEC $500,000
TD Ameritrade investor protection violation 2014 SEC $100,800
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