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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 Total | Number of Records |
| consumer-protection-related offenses | $320,770,000 | 11 |
| financial offenses | $170,433,494 | 14 |
| competition-related offenses | $64,633,333 | 2 |
| employment-related offenses | $17,310,208 | 6 |
| miscellaneous offenses | $2,750,000 | 1 |
| Top 5 Primary Offense Types | Penalty Total | Number of Records |
| consumer protection violation | $319,295,000 | 9 |
| investor protection violation | $132,302,384 | 11 |
| fraud | $43,800,000 | 1 |
| banking violation | $37,500,000 | 1 |
| price-fixing or anti-competitive practices | $20,833,333 | 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 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.
| Company | Primary Offense Type  | Year | Agency | Penalty Amount |
| TD Bank, National Association | banking violation | 2013 | OCC | $37,500,000 |
| TD Bank, N.A. | consumer protection violation | 2020 | CFPB | $122,000,000 |
| TD Bank N.A. | consumer protection violation | 2023 | private lawsuit-federal | $2,250,000 |
| TD Bank N.A. | consumer protection violation | 2022 | private lawsuit-federal | $4,245,000 |
| TD Bank N.A. | consumer protection violation | 2022 | private lawsuit-federal | $41,500,000 |
| TD Bank N.A. | consumer protection violation | 2020 | private lawsuit-federal | $70,000,000 |
| TD Bank N.A. | consumer protection violation | 2013 | private lawsuit-federal | $62,000,000 |
| TD Bank, N.A. | consumer protection violation | 2017 | private lawsuit-federal | $500,000 |
| TD Bank N.A. | consumer protection violation | 2023 | private lawsuit-federal | $11,900,000 |
| TD Bank N.A. | consumer protection violation | 2023 | private lawsuit-federal | $4,900,000 |
| Convergex Execution Solutions LLC | data submission deficiencies | 2018 | SEC | $2,750,000 |
| Toronto-Dominion Bank | economic sanction violation | 2017 | OFAC | $516,105 |
| TD Bank, N.A. | economic sanction violation | 2021 | OFAC | $115,005 |
| ConvergEx Group LLC | fraud | 2014 | DOJ_CRIMINAL | $43,800,000 |
| ConvergEx Group | investor protection violation | 2013 | SEC | $107,424,429 |
| TD Bank | investor protection violation | 2013 | SEC | $15,000,000 |
| TD Waterhouse Investor Services, Inc. | investor protection violation | 2004 | SEC | $2,000,000 |
| SG Cowen & Co., LLC f/k/a SG Cowen Securities Corporation | investor protection violation | 2004 | SEC | $125,000 |
| SG Cowen Securities Corporation | investor protection violation | 2003 | SEC | $5,000,000 |
| TD Securities (USA) LLC | investor protection violation | 2016 | SEC | $500,000 |
| TD Options LLC | investor protection violation | 2009 | SEC | $1,000,000 |
| Cowen and Company, LLC | investor protection violation | 2008 | FINRA | $150,000 |
| SG Cowen, LLC | investor protection violation | 2004 | FINRA | $800,000 |
| TD Waterhouse Investor Services, Inc. | investor protection violation | 2004 | FINRA | $150,000 |
| TD Securities (USA) LLC | investor protection violation | 2022 | SEC | $152,955 |
| TD Banknorth | labor relations violation | 2006 | NLRB | $5,000 |
| TD Securities (USA) LLC | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $20,833,333 |
| TD Bank | privacy violation | 2014 | MA-AG | $625,000 |
| TD Bank, N.A. | privacy violation | 2014 | MULTI-AG | $850,000 |
| TD Waterhouse Investor Services, Inc. | wage and hour violation | 2005 | WHD | $55,208 |
| 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 Bank | wage and hour violation | 2013 | private lawsuit-federal | $975,000 |
| TD Bank | wage and hour violation | 2010 | private lawsuit-federal | $375,000 |
