Defendant Name: TD Ameritrade, Inc.

Defendant Type: Subsidiary of Public Company
Public Company Parent: Toronto Dominion Bank Ontario
SIC Code: 6211
CUSIP: 87236Y10

Initial Case Details

Legal Case Name In the Matter of TD Ameritrade, Inc.
First Document Date 24-Sep-2018
Initial Filing Format Administrative Action
File Number 3-18829
Allegation Type Broker Dealer

Violations Alleged

Other
• Section 17(a), Exchange Act; Rule 17a-8, Exchange Act

Resolutions

First Resolution Date 24-Sep-2018
Headline Total Penalty and Disgorgement $500,000

Related Documents:

34-84269 24-Sep-2018 Administrative Proceeding
Order Instituting Administrative Cease-and-Desist Proceedings Pursuant to Section 15(b) and 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
The Commission stated that: "This proceeding concerns Respondent's failure to file certain Suspicious Activity Reports ("SARs") as required by Section 17(a) of the Exchange Act and Rule 17a-8 thereunder. These provisions require broker-dealers, such as Respondent, to comply with the Bank Secrecy Act ("BSA") requirement to file SARs. The BSA and implementing regulations require broker-dealers to file SARs with a federal governmental agency--the Financial Crimes Enforcement Network ("FinCEN")--to report certain suspicious transactions that are conducted or attempted by, at, or through the broker-dealer. See 31 C.F.R. §1023.320(a) (the "SAR Rule")."