Violation Tracker Individual Record
Date:September 23, 2013
Offense Group:financial offenses
Primary Offense:investor protection violation
TD Bank agreed to pay $15 million to settle allegations of violating securities laws in connection with a massive South Florida-based Ponzi scheme conducted by Scott Rothstein, who was sentenced to 50 years in prison.
Level of Government:federal
Action Type:agency action
Agency:Securities and Exchange Commission
Civil or Criminal Case:civil
HQ Country of Parent:Canada
Ownership Structure of Parent:publicly traded
Major Industry of Parent:financial services
Specific Industry of Parent:banking
Source of Data:
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