TD Waterhouse Investor Services, Inc. - Securities Class Action

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_______________
Copyright (c) 2001
Stanford Law School

TD Waterhouse Investor Services, Inc. Conclusion: On June 25, 2001, the Court entered a Judgment that for the reasons stated in the Court's Opinion and Order dated June 20, 2001, by Chief Judge Michael B. Mukasey, the defendants’ motion to dismiss the complaint is granted and the complaint is dismissed. The case is closed.

The original complaint alleges that Waterhouse violated the federal securities laws by falsely representing to investors that they had successfully canceled securities trades and then executing those transactions. In addition, the plaintiff alleges that Waterhouse unlawfully paid itself commissions in connection with those unauthorized trades and related transactions executed by Waterhouse to liquidate the unauthorized trades or to generate funds to pay for those transactions.

INDUSTRY CLASSIFICATION:
SIC Code: 6211
Sector: Financial
Industry: Investment Services

COMPANY/ISSUER NAME:	TD Waterhouse Investor Services, Inc.
COMPANY/ISSUER TICKER:	TWE
COMPANY WEBSITE:	http://www.waterhouse.com

FIRST IDENTIFIED COMPLAINT IN THE DATABASE

Hoffman, et al. v. TD Waterhouse Investor Services, Inc.,et al.

COURT: S.D. New York	DOCKET NUMBER: 00-CV-00958
JUDGE NAME: Hon. Michael B. Mukasey
DATE FILED: 2/8/2000	SOURCE: Business Wires
CLASS PERIOD START:	CLASS PERIOD END:
TYPE OF COMPLAINT: Complaint (Unamended and Unconsolidated)
PLAINTIFF FIRMS NAMED IN COMPLAINT:
Dennis J. Johnson 1690 Williston Road, South Burlington, VT, 5402 (voice) 888.459.7855, (fax) , LODJJ@aol.com Shalov Stone & Bonner LLP 276 Fifth Avenue, Suite 704, New York, NY, 10001 (voice) 212.686.8004, (fax) 212.686.8005, lawyer@lawssb.com _____________________________________________ TOTAL NUMBER OF PLAINTIFF FIRMS: 2

DOCUMENTS FOR THE FIRST IDENTIFIED COMPLAINT

Type:		Date on the document:

REFERENCE COMPLAINT

In Re: TD Waterhouse Investor Services, Inc. Securities Litigation

COURT: S.D. New York	DOCKET NUMBER: 00-CV-00958
JUDGE NAME: Hon. Michael B. Mukasey
DATE FILED: 6/2/2000	SOURCE: Business Wires
CLASS PERIOD START:	CLASS PERIOD END:
TYPE OF COMPLAINT: Consolidated and/or Amended
PLAINTIFF FIRMS NAMED IN COMPLAINT:
Dennis J. Johnson 1690 Williston Road, South Burlington, VT, 5402 (voice) 888.459.7855, (fax) , LODJJ@aol.com Shalov Stone & Bonner LLP 276 Fifth Avenue, Suite 704, New York, NY, 10001 (voice) 212.686.8004, (fax) 212.686.8005, lawyer@lawssb.com _____________________________________________ TOTAL NUMBER OF PLAINTIFF FIRMS: 2

DOCUMENTS FOR THE REFERENCE COMPLAINT
Amended Complaint
Type: Complaint		Date on the document: 6/2/2000
U.S. District Court Civil Docket
Type: Docket		Date on the document: 06/25/2001

OTHER DOCUMENTS

Case Name and/or Number:
Type:		Date on the document:

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