Search for: "Charles Schwab & Co. Inc."
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20 Nov 2020, 6:57 am
However, these individuals remain bound by the securities arbitration agreement to arbitrate any disputes between themselves and their former customers: NAME FORMER EMPLOYERS William Ellis 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]
22 Sep 2021, 7:58 am
Charles Schwab & Co., Inc. [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]
31 Dec 2010, 8:41 pm
The following information regarding broker misconduct and disciplinary activities taken against California stockbrokers was released by the Financial Industry Regulatory Authority (FINRA) in October, November and December 2010: Michael Scott Silva, with Charles Schwab & Co., Inc. in Santa Rosa, CA, was fined $5,000 and suspended from association with any FINRA member in any capacity for 10 business days in connection with the recommendation to a customer to… [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]
6 Oct 2014, 7:03 am
In 2010, the SEC filed a complaint alleging that Grant failed to tell his clients that brokerage costs would be significantly lower at Charles Schwab & Co., the discount broker Sage used, as compared with the money manager Wedbush employed, First Wilshire Securities Management 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]
22 Sep 2021, 8:55 am
Michael Goonan Equitable Advisors, LLC Park Avenue Securities LLC Courtney Mahdak 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]
7 Jul 2021, 2:01 pm
Courtney Mahdak Charles Schwab & Co., Inc. [read post]
22 Sep 2021, 12:53 pm
Charles Schwab & Co., Inc. [read post]
11 Nov 2021, 2:07 pm
Nessim Mezrahi is CEO and Co-Founder of SAR. [read post]
1 Aug 2012, 5:51 am
Hodge*, Managing Director, COO, PIMCO Lisa Kidd Hunt, EVP, International Services & Special Business Development, Charles Schwab & Co. [read post]
23 Jun 2011, 11:27 am
It’s impossible to capture them all, but I’m going to do my best, by saying a heart-felt “thank you” to: Venkat Rangan and Charu Rudrakshi who started the company, raised the first round of funding, and set the DNA of the engineering team; Jim Goetz at Sequoia Capital who acted more as co-founder than investor in the company’s first year, and has since been incredibly supportive of the management team; Tom Dyal at Redpoint Ventures for … [read post]
23 Dec 2008, 7:00 pm
Shareholder support for the proposal trended upward at Charles Schwab Corp., from 25.0 percent in 2007 to 28.0 percent in 2008; at Halliburton Company, from 24.4 percent to 32.1 percent; and at Union Pacific Corp., from 29.0 percent to 35.4 percent. [read post]
26 Aug 2009, 5:01 am
Merrill Lynch & Co., Inc., ___ F.Supp.2d ___ (S.D.N.Y. [read post]
26 Apr 2012, 3:51 pm
Similar Norges Bank proposals are slated for votes at Charles Schwab Corp. and Pioneer Natural Resources on May 17 and at Western Union and CME Group on May 23. [read post]
14 Nov 2011, 2:13 pm
Two Charles Schwab-related entities were charged for making misleading statements to investors regarding a mutual fund heavily invested in mortgage-backed and other risky securities. [read post]
24 Jul 2012, 11:49 am
JPMorgan Chase & Co., Citigroup Inc., Bank of America, HSBC and Deutsche Bank AG, are all reportedly in the crosshairs. [read post]
