Violation Tracker Parent Company Summary

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: 
$197,301,313
Number of records: 
15
Top 5 Offense Groups (Groups Defined)Penalty TotalNumber of Records
consumer-protection-related offenses$123,475,0003
financial offenses$56,516,1056
employment-related offenses$17,310,2086
Top 5 Primary Offense TypesPenalty TotalNumber of Records
consumer protection violation$122,000,0001
banking violation$37,500,0001
investor protection violation$18,500,0004
wage and hour violation$17,305,2085
privacy violation$1,475,0002
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.

Associated Names: 

TD BANK; TD Bank, N.A.; TD OPTIONS; TD SECURITIES USA LLC; TD WATERHOUSE INVESTOR SVC; TORONTO DOMINION BANK

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 Bank, N.A. consumer protection violation 2020 CFPB $122,000,000
TD Bank, National Association banking violation 2013 OCC $37,500,000
TD Bank investor protection violation 2013 SEC $15,000,000
TD Bank wage and hour violation 2015 private lawsuit-federal $9,900,000
TD Bank wage and hour violation 2014 private lawsuit-federal $6,000,000
TD Waterhouse Investor Services, Inc. investor protection violation 2004 SEC $2,000,000
TD Options LLC investor protection violation 2009 SEC $1,000,000
TD Bank wage and hour violation 2013 private lawsuit-federal $975,000
TD Bank, N.A. privacy violation 2014 MULTI-AG $850,000
TD Bank privacy violation 2014 MA-AG $625,000
Toronto-Dominion Bank economic sanction violation 2017 OFAC $516,105
TD Securities (USA) LLC investor protection violation 2016 SEC $500,000
TD Bank wage and hour violation 2010 private lawsuit-federal $375,000
TD Waterhouse Investor Services, Inc. wage and hour violation 2005 WHD $55,208
TD Banknorth labor relations violation 2006 NLRB $5,000
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