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:
$472,710,800
Number of records:
8
| Top 10 Primary Offense Types | Penalty Total | Number of Records |
|---|---|---|
| investor protection violation | $457,710,800 | 5 |
| financial institution supervision failures | $10,000,000 | 1 |
| data submission deficiencies | $2,500,000 | 1 |
| wage and hour violation | $2,500,000 | 1 |
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 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:
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 Amount |
|---|---|---|---|---|
| Scottrade | data submission deficiencies | 2014 | SEC | $2,500,000 |
| TD Ameritrade Inc. | financial institution supervision failures | 2011 | SEC | $10,000,000 |
| TD Ameritrade | investor protection violation | 2014 | SEC | $100,800 |
| Scottrade, Inc. | investor protection violation | 2008 | SEC | $950,000 |
| TD Ameritrade, Inc. | investor protection violation | 2018 | SEC | $500,000 |
| TD Ameritrade, Inc. | investor protection violation | 2009 | MULTI-AG | $456,000,000 |
| TD Ameritrade, Inc. | investor protection violation | 2015 | MA-AG | $160,000 |
| TD Ameritrade | wage and hour violation | 2009 | private lawsuit-federal | $2,500,000 |
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