According to the SEC’s order, between April 2018 and May 2019, the former TD Securities trader spoofed the U.S. Treasury cash ...

The Securities and Exchange Commission also said the bank was charged for failing to supervise the former head of its ...

In a status update filed with the U.S. District Court for the Eastern District of Texas last week, Schwab and plaintiffs in ...

The broker-dealer arm of the Canadian bank will pay penalties to the DOJ, SEC and FINRA over a former trader’s scheme to place hundreds of fraudulent spoof orders amounting to billions of dollars.

The Securities and Exchange Commission, Finra and the U.S. Department of Justice today that TD Securities (USA) has accepted $28 million in penalties for manipulating the U.S. Treasury cash securities ...

TD Bank (TSX:TD) has agreed to pay over US$20 million to end investigations into Jeyakumar Nadarajah, one of its former ...

Broker-dealer TD Securities failed to prevent a trader from placing and then withdrawing thousands of false trades over the course of a year in part because its compliance department failed to follow ...

The Toronto-Dominion Bank ’s TD U.S. broker-dealer unit, TD Securities USA, has agreed to pay more than $20 million in a ...

TD has agreed to pay over US$9m in criminal penalties, US$12.5m to end civil investigations led by the Securities and ...

Specifically, a former TD Securities trader was found to have spoofed the US Treasury cash securities market; the SEC has ruled that the firm “lacked adequate controls and that it failed to take ...

(Reuters) -The U.S. broker-dealer unit of Toronto Dominion Bank has agreed to pay over $20 million under a deal with U.S.