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TD Ameritrade, Inc. – Consent Order – S-24-3766-25-CO01

Case summary

On September 23, 2025, the Washington State Department of Financial Institutions Division of Securities entered a Consent Order (S-24-3766-25-CO01) against TD Ameritrade, Inc..

Order details

Order File: S-24-3766-25-CO01

Laws & Rules: RCW 21.20.110, WAC 460-20C-150, WAC 460-20C-150

Penalties/Remedies:

  • Fine: $15,000
  • Investigative costs: $35,000
  • Restitution: $16,911.20

Findings

TD Ameritrade, Inc. charged commissions in excess of 5% on certain small principal equity transactions.

Order file

View order file