Search for: "Charles Schwab Corporation"
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9 Nov 2010, 12:47 am
However, in a November 8, 2010 press release (here), Charles Schwab Corporation announced that it had notified the plaintiffs in the case that it was invoking the termination provisions of the settlement agreement and withdrawing from the case. [read post]
21 Apr 2010, 2:06 am
In one of the most substantial settlements to date to arise out of the subprime-related securities litigation wave, the parties to the consolidated Schwab YieldPlus securities class action lawsuit have reached an agreement to settle the case for $200 million, according to an April 20, 2010 press release from The Charles Schwab Corporation. [read post]
13 Mar 2008, 7:37 am
ExxonMobil received 25 shareholder resolutions this year, including the FEAOX binding proposal, while Charles Schwab has received only two, according to RiskMetrics data. [read post]
13 Nov 2014, 5:22 am
According to the Financial Industry Regulatory Authority’s BrokerCheck system, there have been four customer complaints filed against former Sigma Financial Corporation (Sigma) and current Charles Schwab broker, Mark Johanson (Johanson) stemming from unsuitable Tenants-in-Common (TIC) investments. [read post]
4 Aug 2009, 6:08 am
Van Blunk, Shareholder in Stark & Stark's Business & Corporate group authored an article for the July 2009 edition of the Charles Schwab Institutional Compliance Review entitled An Overview of External Transition Planning for the Registered Investment Adviser. [read post]
23 Jul 2008, 11:24 am
$4,550,000Alan Braverman The Walt Disney Company $3,450,000Richard Massey Alltel Corporation $3,343,338Russell Deyo Johnson & Johnson $2,746,200Carrie Dwyer The Charles Schwab Corporation $2,701,715Paul Cappuccio Time Warner Inc [read post]
19 Jan 2023, 11:17 am
Capitol Attack on January 6, 2021, Charles Schwab discontinued its political action committee (PAC). [read post]
19 Jan 2023, 11:17 am
Capitol Attack on January 6, 2021, Charles Schwab discontinued its political action committee (PAC). [read post]
10 May 2021, 7:09 am
Robinhood was joined by other online brokers, including TD Ameritrade, Charles Schwab & Co, Inc, Interactive Brokers, LLC, Webull Financial, LLC, E*Trade Securities LLC, who all implemented trading restrictions on targeted securities. [read post]
From the Pages of The Pomerantz Monitor: Institutions Want a Say on Corporate Political Expenditures
9 Jun 2011, 6:12 am
., Charles Schwab, Prudential, JPMorgan Chase and other corporations. [read post]
25 Sep 2020, 11:17 am
… Indeed, the passing communication between Grinnell and Charles Schwab's experts—the majority of which took place after a decision had already been made—evince merely the "trivial" contact any arbitrator might have with a recurring, corporate defendant. [read post]
13 Nov 2014, 12:01 pm
The SEC Enforcement Division’s Municipal Securities and Public Pensions Unit detected improper sales of Puerto Rico junk bonds below a $100,000 minimum denomination set in a $3.5 billion offering earlier this year , and identified the following thirteen firms behind those improper sales:: Charles Schwab & Co., Hapoalim Securities USA, Interactive Brokers LLC, Investment Professionals Inc., J.P. [read post]
19 Apr 2024, 1:43 pm
According to FINRA Disciplinary actions for March 2024, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Gabriela Alfaro Charles Schwab & Co., Inc. [read post]
11 Jan 2011, 3:18 pm
Indeed, even Charles Schwab got hit by the SEC for $119 million for allegedly making misleading statements regarding the risks associated with a bond mutual fund containing mortgage-backed securities. [read post]
15 Dec 2008, 8:16 am
Last week someone brought to my attention advice being given by Charles Schwab to the effect that one should "prepay" state estimated income taxes due in January by sending the check in December 2008 rather than in January 2009. [read post]
26 Aug 2009, 8:30 am
Schwab, founder and chairman of the Charles Schwab Corporation, wrote in The Wall Street Journal (online.wsj.com, August 19, 2009) that his company serves almost 10 million accounts, the majority of which involve investors making their own decisions about buying, selling and holding financial products. [read post]
9 Apr 2008, 1:26 pm
Charles Schwab's largest bond fund has lost more than 80% of its assets over the past 10 months as investors have fled the mortgage-backed securities in which it invested heavily. [read post]
25 Apr 2014, 8:35 am
The nonprofit advocacy group Public Citizen started an online petition entitled “Stand Up to Chuck: Demand That Charles Schwab Corporation Stop Denying Its Customers’ Rights,” collecting 17,000 signatures. [read post]
28 Jan 2009, 2:02 pm
The class action complaint alleges that Charles Schwab Corporation issued untrue statements regarding the lack of diversification of these funds and the extent of investments assigned to sub-prime mortgage backed and related securities. [read post]
16 Jul 2011, 5:10 am
In Rita Dirks Vs Liberty Life Assurance Company Of Boston, The Charles Schwab Corporation Long Term Disability Plan And The Charles Schwab Corporation, it was alleged by the plaintiff Rita Dirks that Liberty Life had violated the provisions of the Employee Retirement Income Security Act of 1974 (ERISA) in the handling of her claim for long term disability (LTD) benefits. [read post]
