Defendant Name:
TD Private Client Wealth LLC
Defendant Type:
Subsidiary of Public Company
Public Company Parent:
The Toronto-Dominion Bank
SIC Code:
6021
CUSIP:
89116050
Document Reference:
34-101062
Document Details
Legal Case Name
In the Matter of TD Private Client Wealth LLC
Document Name
Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 21C of the Securities Exchange Act of 1934 and Section 203(e) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
Document Date
17-Sep-2024
Document Format
Administrative Proceeding
Allegation Type
Other
Document Summary
On September 17, 2024, the SEC instituted settled administrative and cease-and-desist proceedings against TD Private Client Wealth LLC, stating: "From at least December 2019 through the present, Respondent, a registered investment adviser, has had investment discretion over at least $100 million of reportable securities and was therefore obligated to file quarterly Forms 13F beginning by at least February 2020. However, Respondent failed to file Forms 13F until August 2024."
Disgorgement & Penalty Information
Resolutions
Cease and Desist Order
Censured
Remedial Acts or Efforts Before the Resolution
Monetary Penalties:
Civil Penalty
Individual:
$475,000.00
Shared:
