Skip to search field Skip to main content

Official websites use .gov
A .gov website belongs to an official government organization in the United States.

Secure .gov websites use HTTPS
A lock () or https:// means you’ve safely connected to the .gov website. Share sensitive information only on official, secure websites.

Award Claim

In the Matter of TD Securities (USA) LLC, TD Private Client Wealth LLC, and Epoch Investment Partners, Inc.

Sept. 30, 2024

2024-126

In the Matter of TD Securities (USA) LLC, TD Private Client Wealth LLC, and Epoch Investment Partners, Inc.
Administrative Proceeding File No.: 3-22008
Date Filed: August 14, 2024
Date of Qualifying Judgment/Order: August 14, 2024

Last Reviewed or Updated: Sept. 25, 2024

Rules & Regulations

Enforcement & Litigation

Compliance

In the Matter of TD Securities (USA) LLC, TD Private Client Wealth LLC, and Epoch Investment Partners, Inc.

More in this Section

In the Matter of TD Securities (USA) LLC, TD Private Client Wealth LLC, and Epoch Investment Partners, Inc.