Violation Tracker Individual Record

Company: 
Scottrade
Current Parent Company: 
TD Ameritrade
Penalty: 
$2,500,000
Year: 
2014
Date: 
January 29, 2014
Primary Offense: 
data submission deficiencies
Violation Description: 

Scottrade agreed to pay $2.5 million to settle allegations of failing to provide the SEC with complete and accurate information about trades done by the firm and its customers, which is commonly called blue sheet data.

Level of Government: 
federal
Action Type: 
agency action
Agency: 
Securities and Exchange Commission
Civil or Criminal Case: 
civil
HQ Country of Parent: 
USA
HQ State of Parent: 
Nebraska
Ownership Structure of Parent: 
publicly traded
Major Industry of Parent: 
financial services
Specific Industry of Parent: 
financial services
Source Notes: 
If an online information source is not working, check the Violation Tracker Data Sources page for an updated link.
Parent company note: 
Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.