Violation Tracker Individual Record
Company:TD Waterhouse Investor Services, Inc.
Date:September 21, 2004
Offense Group:financial offenses
Primary Offense:investor protection violation
TD Waterhouse Investor Services, Inc. agreed to pay $2 million to settle allegations that it made undisclosed cash payments to three investment advisers to encourage them to use TD Waterhouse for their clients' brokerage business.
Level of Government:federal
Action Type:agency action
Agency:Securities and Exchange Commission
Civil or Criminal Case:civil
HQ Country of Parent:Canada
Ownership Structure of Parent:publicly traded
Major Industry of Parent:financial services
Specific Industry of Parent:banking
Source of Data:
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