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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$575,897,035
Number of records: 34
Top 5 Offense Groups (Groups Defined)Penalty TotalNumber of Records
consumer-protection-related offenses$320,770,00011
financial offenses$173,183,49415
competition-related offenses$64,633,3332
employment-related offenses$17,310,2086
Top 5 Primary Offense TypesPenalty TotalNumber of Records
consumer protection violation$319,295,0009
investor protection violation$135,052,38412
banking violation$37,500,0001
price-fixing or anti-competitive practices$20,833,3331
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: 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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CompanyPrimary Offense TypeYearAgencyPenalty Amount sort icon
TD Bank, N.A.consumer protection violation2020CFPB$122,000,000
ConvergEx Groupinvestor protection violation2013SEC$107,424,429
TD Bank N.A.consumer protection violation2020private lawsuit-federal$70,000,000
TD Bank N.A.consumer protection violation2013private lawsuit-federal$62,000,000
ConvergEx Group LLCfraud2014DOJ_CRIMINAL$43,800,000
TD Bank N.A.consumer protection violation2022private lawsuit-federal$41,500,000
TD Bank, National Associationbanking violation2013OCC$37,500,000
TD Securities (USA) LLCprice-fixing or anti-competitive practices2020private lawsuit-federal$20,833,333
TD Bankinvestor protection violation2013SEC$15,000,000
TD Bank N.A.consumer protection violation2023private lawsuit-federal$11,900,000
TD Bankwage and hour violation2015private lawsuit-federal$9,900,000
TD Bankwage and hour violation2014private lawsuit-federal$6,000,000
SG Cowen Securities Corporationinvestor protection violation2003SEC$5,000,000
TD Bank N.A.consumer protection violation2023private lawsuit-federal$4,900,000
TD Bank N.A.consumer protection violation2022private lawsuit-federal$4,245,000
Convergex Execution Solutions LLCinvestor protection violation2018SEC$2,750,000
TD Bank N.A.consumer protection violation2023private lawsuit-federal$2,250,000
TD Waterhouse Investor Services, Inc.investor protection violation2004SEC$2,000,000
TD Options LLCinvestor protection violation2009SEC$1,000,000
TD Bankwage and hour violation2013private lawsuit-federal$975,000
TD Bank, N.A.privacy violation2014MULTI-AG$850,000
SG Cowen, LLCinvestor protection violation2004FINRA$800,000
TD Bankprivacy violation2014MA-AG$625,000
Toronto-Dominion Bankeconomic sanction violation2017OFAC$516,105
TD Securities (USA) LLCinvestor protection violation2016SEC$500,000
TD Bank, N.A.consumer protection violation2017private lawsuit-federal$500,000
TD Bankwage and hour violation2010private lawsuit-federal$375,000
TD Securities (USA) LLCinvestor protection violation2022SEC$152,955
Cowen and Company, LLCinvestor protection violation2008FINRA$150,000
TD Waterhouse Investor Services, Inc.investor protection violation2004FINRA$150,000
SG Cowen & Co., LLC f/k/a SG Cowen Securities Corporationinvestor protection violation2004SEC$125,000
TD Bank, N.A.economic sanction violation2021OFAC$115,005
TD Waterhouse Investor Services, Inc.wage and hour violation2005WHD$55,208
TD Banknorthlabor relations violation2006NLRB$5,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.