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Violation Tracker Individual Record

Company: TD Ameritrade, Inc.
Current Parent Company: Charles Schwab Corp.
Parent at the Time of the Penalty Announcement:  subscribe to see this data field
Recap of Ownership Changes:  subscribe to see this data field
Penalty: $160,000
Year: 2015
Date: October 19, 2015
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: 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
Facility State: Massachusetts
HQ Country of Current Parent: USA
HQ State of Current Parent: California
Ownership Structure of Current Parent: publicly traded
Major Industry of Current Parent: financial services
Specific Industry of Current Parent: financial services
Source of Data: (click here)
Source Notes: If an online information source is not working, check the Violation Tracker Data Sources page for an updated link.
Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.