Search for: "Charles Schwab & Co Inc"
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11 Jul 2013, 7:25 am
The targeted firms are reportedly: Morgan Stanley, Merrill Lynch, UBS Securities LLC, Fidelity Brokerage Services LLC, Charles Schwab & Co. [read post]
28 Feb 2013, 11:58 am
” The decision arises from a Complaint filed on February 1, 2012 by FINRA’s Department of Enforcement against Charles Schwab & Co., Inc. [read post]
12 Apr 2019, 8:28 am
According to FINRA Disciplinary actions for February 2019, the following individuals were suspended 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 Bishop, Tywan Charles Schwab & Co., Inc ETrade Securities Borja, Mauricio Allstate Financial Services, LLC … [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]
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 Jul 2012, 6:45 am
The White Law Group continues to investigate potential FINRA arbitration claims involving Fidelity’s Ultra Short Bond Fund and Charles Schwab’s YieldPlus bond fund. [read post]
19 Jul 2012, 6:45 am
The White Law Group continues to investigate potential FINRA arbitration claims involving Fidelity’s Ultra Short Bond Fund and Charles Schwab’s YieldPlus bond fund. [read post]
4 Nov 2014, 7:10 am
The SEC’s subsequent investigation identified a total of 66 occasions when dealer firms sold the Puerto Rico bonds to investors in amounts below $100,000.The agency instituted administrative proceedings against the firms behind those improper sales: Charles Schwab & Co., Hapoalim Securities USA, Interactive Brokers LLC, Investment Professionals Inc., J.P. [read post]
14 Jul 2022, 8:28 am
His previous employers were Wells Fargo Advisors, LLC (CRD#:19616), also of Wilmington, and Charles Schwab & Co., Inc. [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]
12 Oct 2009, 12:38 pm
Recently, New York Attorney General Cuomo filed suit against Charles Schwab & Co., Inc., whose founder, Charles Schwab lashed out in protest. [read post]
5 Jan 2024, 1:14 pm
According to FINRA Disciplinary actions for December 2023, 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 Thomas Cole III Charles Schwab & Co., Inc. [read post]
6 Aug 2019, 8:52 am
According to FINRA Disciplinary actions for July 2019, the following individuals were suspended 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 Bender, Charles III Suntrust Investment Services, Inc JP Morgan Securities LLC Bingham, Daniel Essex Securities LLC Investors… [read post]
25 Sep 2020, 11:17 am
Charles Schwab & Co, Inc., Case No. 2:19-cv-01340, Sanduski was on the losing end of a $415,000 award which arose out of his failure to pay his unsecured debit balance. [read post]
1 Jun 2009, 9:10 pm
Meantime, state officials are looking into whether TD Ameritrade Holding Corp., Charles Schwab Corp., and E*Trade Financial Corp also engaged in ARS-related violations. [read post]
28 Aug 2018, 11:30 am
Pace & Co, Inc. [read post]
20 Jul 2009, 2:44 pm
This settlement comes on the heels of an announcement by Attorney General Cuomo warning Charles Schwab & Co that it plans to sue the company for civil fraud if it does not quickly reach an agreement to buy back auction rate securities from its clients. [read post]
6 Dec 2011, 12:35 pm
Howard Rice’s client list includes The Charles Schwab Corp., The Clorox Co., Google Inc., Hewlett-Packard Co., JP Morgan Chase & Co., The Oakland Raiders, UBS, Wells Frago & Co. and the United States Olympic Committee. [read post]
24 Mar 2011, 8:32 am
Charles Schwab & Co., Inc., CCH State Unfair Trade Practices Law ¶32,221. [read post]
24 Apr 2012, 11:46 am
The rule was proposed by the Financial Industry Regulatory Agency, Inc. [read post]
