Violation Tracker Individual Record
Company:TD Ameritrade, Inc.
Date:October 19, 2015
Offense Group:financial offenses
Primary Offense:investor protection violation
TD Ameritrade, Inc. agreed to pay more than $160,000 in settlement of allegations it deceived investors about the safety of its Reserve Yield Plus Fund.
Level of Government:state
Action Type:agency action
Agency:Massachusetts Attorney General
Civil or Criminal Case:civil
HQ Country of Parent:USA
HQ State of Parent:California
Ownership Structure of Parent:publicly traded
Major Industry of Parent:financial services
Specific Industry of Parent:financial services
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