From July to September 2022, Stockpile Investments distributed retail communications concerning crypto assets or crypto asset-related services that failed to clearly disclose that crypto assets were not offered through a registered broker-dealer or which did not provide a fair and balanced presentation of the benefits and risks of the products discussed. Therefore, Stockpile Investments violated FINRA Rules 2210(d) and 2010 and is censured and fined $50,000.

From about January 2007 to May 2024, TD Ameritrade Clearing and TD Ameritrade failed to report or timely report millions of transactions to the FINRA/Nasdaq Trade Reporting Facility (FNTRF), the Over-the-Counter Reporting Facility (ORF) and predecessor reporting facilities. Thus, TD Ameritrade Clearing and TD Ameritrade violated FINRA Rules 6380A, 6622, and 2010 and predecessor NASD Rules. Additionally, from July 2020 to November 2022, TD Ameritrade failed to report positions to the LOPR in violation of FINRA Rules 2360(b)(5) and 2010.