Search for: "Charles Schwab & Co., Inc."
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11 Jan 2011, 10:36 am
The SEC charged Charles Schwab Investment Management (CSIM) and Charles Schwab & Co., Inc. [read post]
21 Nov 2011, 1:25 pm
Merk was an Executive Vice President at Charles Schwab & Co., Inc., President of Charles Schwab Investment Management, and a Trustee of the Schwab YieldPlus... [read post]
11 Jan 2011, 7:58 pm
On January 11, 2011, the Securities and Exchange Commission sued Charles Schwab Investment Management and Charles Schwab & Co., Inc. over alleged misleading statements regarding the Schwab YieldPlus Fund and failing to establish, maintain and enforce policies and procedures to prevent the misuse of material, nonpublic information. [read post]
13 Jun 2022, 6:56 am
” Without admitting or denying the SEC’s findings, Schwab’s investment adviser subsidiaries, Charles Schwab & Co., Inc., Charles Schwab Investment Advisory, Inc., and Schwab Wealth Investment Advisory, Inc., agreed to a cease-and-desist order prohibiting them from violating the antifraud provisions of the Investment Advisers Act of 1940, censuring them, and requiring them to pay… [read post]
15 Oct 2009, 8:52 am
The Wells Notice reflects that the SEC staff intends to recommend the filing of a civil enforcement action against Schwab Investments, Charles Schwab Investment Management, Charles Schwab & Co., Inc. and the president of the funds for possible violations of the securities laws with respect to the two funds. [read post]
13 Jun 2023, 11:42 am
The Financial Industry Regulatory Authority Inc. last week fined Charles Schwab & Co. [read post]
14 Jan 2011, 8:55 am
The SEC recently announced that it had settled with Charles Schwab Investment Management and Charles Schwab & Co., Inc. with making misleading statements regarding the Charles Schwab YieldPlus Fund and for failing to establish proper policies to prevent the misuse of material, non-public information. [read post]
23 Nov 2011, 6:04 am
Securities and Exchange Commission (SEC) announced that Randall Merk (Merk), former Executive Vice President of Charles Schwab & Co., Inc. and President of Charles Schwab Investment Management, has agreed to pay a $150,000 fine to settle charges brought against him in connection with Schwab's YieldPlus Fund. [read post]
5 Dec 2019, 9:01 pm
CSC’s broker-dealer subsidiary is Charles Schwab & Co., Inc. [read post]
14 Nov 2014, 12:01 pm
From the Desk of Jim Eccleston at Eccleston Law Offices: Charles Schwab and Co. [read post]
10 Aug 2022, 6:45 pm
Id.On June 13, 2022, the SEC charged three Schwab registered investment adviser subsidiaries, Charles Schwab & Co., Inc., Charles Schwab Investment Advisory, Inc., and Schwab Wealth Investment Advisory, Inc., for misleading robo-adviser clients within their mandatory disclosures. [read post]
15 Oct 2009, 2:56 pm
The San Francisco-based brokerage acknowledged earlier this week that it had received the SEC's Well Notice, which outlined possible civil enforcement actions against Schwab Investments, Charles Schwab Investment Management, Charles Schwab & Co., Inc. and the president of the YieldPlus funds for alleged violations of securities laws in connection to the two fixed-income mutual funds. [read post]
14 Feb 2019, 1:50 am
Case In PointIn a FINRA Arbitration Statement of Claim filed in April 2018, FINRA member firm Claimant Charles Schwab & Co., Inc. asserted breach of contract. [read post]
23 Aug 2012, 9:50 pm
The Charles Schwab Corp. settled a similar case last year in which they paid almost $119 million over its YieldPlus bond fund. [read post]
14 Mar 2013, 12:10 pm
In a new case filed by Charles Schwab & Co. [read post]
2 Apr 2012, 6:31 am
In a Final Order dated March 26, 2012, the Florida Office of Financial Regulation ("OFR") fined Charles Schwab & Co., Inc. [read post]
21 Jul 2014, 6:05 am
Charles Schwab & Co., Inc., Respondent (FINRA Arbitration 13-01672, July 18, 2014).As set forth in the Arbitration Decision:Claimant alleged that changes to Claimant's account verification forms were not based on any con... [read post]
2 Nov 2009, 2:15 pm
On October 14, 2009, Charles Schwab was notified that the SEC staff intends to recommend the filing of a civil enforcement action against Schwab Investments, Charles Schwab Investment Management, Charles Schwab & Co., Inc. and the president of the funds for possible violations of the securities laws with respect to the Schwab YieldPlus Fund. [read post]
26 Jul 2022, 7:00 am
”), Charles Schwab Investment Advisory, Inc. [read post]
22 Nov 2011, 5:35 pm
Randall Merk, a former executive for Charles Schwab andamp; Co. [read post]
