Defendant Name: TD Ameritrade, Inc.

Defendant Type: Subsidiary of Public Company
Public Company Parent: TD Ameritrade Holding Corp
SIC Code: 6210
CUSIP: 87236Y10

Initial Case Details

Legal Case Name In the Matter of TD Ameritrade, Inc.
First Document Date 20-Jul-2009
Initial Filing Format Administrative Action
File Number 3-13557
Allegation Type Broker Dealer

Violations Alleged

Securities Act
• Sec 17(a)(2)

Resolutions

First Resolution Date 20-Jul-2009

Related Documents:

33-9053 20-Jul-2009 Administrative Proceeding
Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 8A of the Securities Act of 1933 and Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
On July 20, 2009, the SEC instituted settled administrative and cease and desist proceedings against TD Ameritrade, Inc ("Respondent"). According to the SEC: "Respondent offered and sold to some of its customers financial instruments known as auction rate securities ("ARS") while not accurately characterizing or while failing to disclose the true nature and risks of these investments."
2009-163 20-Jul-2009 Press Release--Administrative Proceeding
SEC Charges TD Ameritrade for Auction Rate Securities Sales Practices; Settlement Enables ARS Customers to Receive All of Their Money Back
On July 20, 2009, the SEC announced "settled charges against TD Ameritrade, Inc. for making inaccurate statements when selling auction rate securities (ARS) to customers."