Broker admitted to violating IIROC rules in connection with an undisclosed payment
After sanctioning non-compliance, IIROC board grants relief from CRM2 provision to TD Waterhouse
An IIROC panel found the firm deliberately decided not to comply with position cost reporting requirements
Suitability remains investors’ top complaint, OBSI says
An Ontario court has ruled that TD Waterhouse was not at fault for a surprise $4.1-million tax bill
A court has ruled the discount broker had an “ironclad” reason to sell out a client’s margin accounts
Court of Appeal upholds ruling dismissing lawsuit proposed by trust beneficiary
IIROC claims firm failed to provide clients with position cost information in quarterly account statements
The advisor used an active trading strategy to produce more than $1 million in commissions from trading for three senior clients over five years
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