Search for: "Charles Schwab & Co. Inc."
Results 1 - 20
of 126
Sort by Relevance
|
Sort by Date
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]
1 Feb 2024, 11:55 am
However, these individuals remain bound by the securities arbitration agreement to arbitrate any disputes between themselves and their former customers: NAME FORMER EMPLOYERS Gabriela Alfaro Charles Schwab &Co., Inc. [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]
25 Oct 2023, 12:36 pm
However, these individuals remain bound by the securities arbitration agreement to arbitrate any disputes between themselves and their former customers: NAME FORMER EMPLOYERS Thomas Cole III Charles Schwab & Co, Inc. [read post]
13 Jun 2023, 11:42 am
The Financial Industry Regulatory Authority Inc. last week fined Charles Schwab & Co. [read post]
31 May 2023, 12:44 pm
[3] Charles Schwab Corp., 28-CA-084931 (Sept. 14, 2012) (Adv. [read post]
1 Feb 2023, 2:39 pm
Charles Schwab – The SEC hit Charles Schwab & Co., Inc., Charles Schwab Investment Advisory, Inc., and Schwab Wealth Investment Advisory, Inc. with $187 million in penalties and disgorgement for alleged misstatements and omissions about their conflict of interest in handling customer funds and the resulting drag on customer returns. [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]
26 Jul 2022, 7:00 am
”), Charles Schwab Investment Advisory, Inc. [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]
5 Jul 2022, 8:39 am
Jaime Quintero American Independent Securities Goup, LLC AFA Financial Group, LLC J-waun Smiley Morgan Stanley Charles Schwab & Co., Inc. [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]
9 Jun 2022, 7:56 am
Shawn Good (CRD # 2022168) was reportedly registered with the following FINRA registered firms, among others during his career in the securities industry: 12/06/2012 – 03/10/2022, MORGAN STANLEY (CRD#:149777), WILMINGTON, NC, 11/09/2004 – 12/07/2012, WELLS FARGO ADVISORS, LLC (CRD#:19616), WILMINGTON, NC 05/22/1996 – 08/11/2004, CHARLES SCHWAB & CO., INC. [read post]
2 May 2022, 1:51 pm
Jaime Quintero American Independent Securities Group, LLC AFA Financial Group, LLC J-waun Smiley Morgan Stanley Charles Schwab & Co., Inc. [read post]
12 Apr 2022, 1:34 pm
Charles Schwab & Co. [read post]
11 Nov 2021, 2:07 pm
Nessim Mezrahi is CEO and Co-Founder of SAR. [read post]
22 Sep 2021, 12:53 pm
Charles Schwab & Co., Inc. [read post]
22 Sep 2021, 8:55 am
Michael Goonan Equitable Advisors, LLC Park Avenue Securities LLC Courtney Mahdak Charles Schwab & Co., Inc. [read post]
22 Sep 2021, 7:58 am
Charles Schwab & Co., Inc. [read post]
7 Jul 2021, 2:01 pm
Courtney Mahdak Charles Schwab & Co., Inc. [read post]
