Violation Tracker Parent Company Summary

Parent Company Name: 
TD Ameritrade
Ownership Structure: 
publicly traded (ticker symbol AMTD)
Headquartered in: 
Major Industry: 
financial services
Specific Industry: 
financial services
Penalty total since 2000: 
Number of records: 
Top 5 Offense Groups (Groups Defined)Penalty TotalNumber of Records
financial offenses$468,210,8008
miscellaneous offenses$2,500,0001
employment-related offenses$2,500,0001
Top 5 Primary Offense TypesPenalty TotalNumber of Records
investor protection violation$468,210,8008
data submission deficiencies$2,500,0001
wage and hour violation$2,500,0001

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: 



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
Company Primary Offense Type Year Agency Penalty Amountsort icon
TD Ameritrade, Inc. investor protection violation 2009 MULTI-AG $456,000,000
TD Ameritrade Inc. investor protection violation 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 Inc. investor protection violation 2015 TX-SEC $400,000
TD Ameritrade, Inc. investor protection violation 2015 MA-AG $160,000
TD Ameritrade investor protection violation 2014 SEC $100,800
Scottrade Inc. investor protection violation 2016 TX-SEC $100,000
Download results as CSV or XML