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Litigation

Sep. 23, 2004

TD Waterhouse to Pay $2 Million for Adviser Payments

SAN FRANCISCO - Brokerage giant TD Waterhouse has agreed to pay $2 million to settle civil fraud charges for making undisclosed cash payments to three investment advisers, including one in Northern California, to steer their clients' business to the firm, Securities and Exchange Commission officials announced Tuesday.

By Donna Domino
Daily Journal Staff Writer
        SAN FRANCISCO - Brokerage giant TD Waterhouse has agreed to pay $2 million to settle civil fraud charges for making undisclosed cash payments to three investment advisers, including one in Northern California, to steer their clients' business to the firm, Securities and Exchange Commission officials anno...

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