TD Waterhouse Investor Services, Inc. Securities Litigation
On or around 06/26/2001 (Date of order of final judgment)
Filing Date: February 08, 2000
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.
Company & Securities Information
Industry: Investment Services
Headquarters: United States
Company Market: New York SE
Market Status: Public (Listed)
About the Company & Securities Data
"Company" information provides the industry and sector classification and headquarters state for the primary company-defendant in the litigation. In general, "Securities" information provides the ticker symbol, market, and market status for the underlying securities at issue in the litigation.
In most cases, the primary company-defendant actually issued the securities that are the subject of the litigation, and the securities information and company information relate to the same entity. In a small subset of cases, however, the primary company-defendant is not the issuer (for example, cases against third party brokers/dealers), and the securities information and company information do not relate to the same entity.
First Identified Complaint
Hoffman, et al. v. TD Waterhouse Investor Services, Inc.,et al.
COURT: S.D. New York
DOCKET #: 00-CV-00958
JUDGE: Hon. Michael B. Mukasey
DATE FILED: 02/08/2000
CLASS PERIOD START: 02/09/1999
CLASS PERIOD END: 02/08/2000
PLAINTIFF FIRMS NAMED IN COMPLAINT:
Dennis J. Johnson 1690 Williston Road, Dennis J. Johnson, VT 5402 888.459.7855 · LODJJ@aol.com