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HOFFMAN v. TD WATERHOUSE INVESTOR SERVICES, INC.

No. 00CIV0958(MBM).

148 F.Supp.2d 289 (2001)

Tony H. HOFFMAN, individually and on behalf of all others similarly situated, Plaintiffs, v. TD WATERHOUSE INVESTOR SERVICES, INC. and John H. Chapel, Defendants.

United States District Court, S.D. New York.

June 20, 2001.

Attorney(s) appearing for the Case

James P. Bonner, Shalov Stone & Bonner, New York City, for Plaintiffs.

Dennis J. Johnson, Jacob B. Perkinson, Law Offices of Dennis J. Johnson, South Burlington, VT, for Plaintiffs.

David E. Nachman, Robert S. Frenchman, Solomon, Zauderer, Ellenhorn, Frischer & Sharp, New York City, for Defendants.

OPINION AND ORDER

MUKASEY, District Judge.

Plaintiffs Tony H. Hoffman, Reuben Hekmat, Thomas E. Maddux and Eileen Leung sue TD Waterhouse Investor Services, Inc. and John H. Chapel, the company's president, on behalf of themselves and a class of investors who maintained on-line trading accounts with TD Waterhouse. Plaintiffs allege violations of the Securities and Exchange Act of 1934 § 10(b), 15 U.S.C. § 78j (1997), and Rules 10b-3 and 10b-5 promulgated...

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