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Company: TD Waterhouse Canada Inc.

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After sanctioning non-compliance, IIROC board grants relief from CRM2 provision to TD Waterhouse

Gavel and legal books

An IIROC panel found the firm deliberately decided not to comply with position cost reporting requirements

suspicious client

Suitability remains investors’ top complaint, OBSI says

A gavel rests on its sounding block with a several law books and a justice scale out of fucus in the background. A cool blue cast dominates the scene. (A gavel rests on its sounding block with a several law books and a justice scale out of fucus in t

An Ontario court has ruled that TD Waterhouse was not at fault for a surprise $4.1-million tax bill

A gavel rests on its sounding block with a several law books and a justice scale out of fucus in the background. A cool blue cast dominates the scene. (A gavel rests on its sounding block with a several law books and a justice scale out of fucus in t

A court has ruled the discount broker had an “ironclad” reason to sell out a client’s margin accounts

Judge gavel, scales of justice and law books in court

Court of Appeal upholds ruling dismissing lawsuit proposed by trust beneficiary

Gavel and legal books

IIROC claims firm failed to provide clients with position cost information in quarterly account statements

Closeup of mallet being hit on stacked coins at table in courtroom

The advisor used an active trading strategy to produce more than $1 million in commissions from trading for three senior clients over five years

Court rules in favour of labour-sponsored venture fund against fund manager

The couple claimed to have lost $1.2 million as a result of poor advice from a TD Waterhouse advisor more than a decade ago

The CSA has encouraged dealers to file applications to allow the early use of Fund Facts disclosure