Search for: "Schwab Financial Services Fund"
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5 May 2012, 10:37 am
Their only “crime,” according to Treasury Secretary Tim Geithner and countless others, is that they charge for their services. [read post]
26 Apr 2012, 3:51 pm
"In terms of proposing a proxy access rule and putting it on the commission agenda, we just don't have the capacity right now," Schapiro said Wednesday during a House Financial Services Committee hearing, according to the Reuters news service. [read post]
7 Jan 2012, 3:13 pm
The other financial firms, ranking in the order that follows, are Charles Schwab, TD Ameritrade, Etrade, Fidelity Brokerage Services, WellsTrade (Wells Fargo), Merrill Edge/Bank of America, and Morgan Stanley Smith Barney LLC. [read post]
27 Dec 2011, 10:58 am
In a divorce proceeding, there are a number of financial issues that require the services of or where an expert can be beneficial. [read post]
27 Dec 2011, 9:58 am
The two most common scenarios in which experts become involved in a family law matter is (1) where complex or large financial issues are involved and (2) where the best interest of the children is being considered.In a divorce proceeding, there are a number of financial issues that require the services of or where an expert can be beneficial. [read post]
28 Nov 2011, 7:19 am
Most registered funds can be bought and sold directly from the fund and through intermediaries such as brokers or fund supermarkets (i.e., Schwab and Fidelity). [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]
7 Mar 2011, 12:17 pm
In 2004, in connection with the settlement of a class action, Ameriprise Financial Services paid $100 million to 2.4 million customers (or approximately $41 to each customer) based upon claims against Ameriprise relating to the sale of proprietary or self-space funds, undisclosed kick-backs from certain funds, and the provision of andquot;cannedandquot; investment in pushing its own funds, which were among the poorest performing mutual funds on… [read post]
31 Dec 2010, 8:41 pm
Junior Kim, previously with UBS Financial Services in Beverly Hills, CA, was fined $5,000 and suspended from association with any FINRA member in any capacity for 30 days in connection with changing customer telephone numbers to report inaccurate information, without the customers' knowledge or authorization. [read post]
22 Dec 2010, 8:29 am
Schwab House, 11 Riverside Drive In effect, Schwab House owns its own management company, one that operates only a single property. [read post]
8 Sep 2010, 2:57 am
Just in the last few months, there have been several very high profile subprime-related lawsuit settlements, including the $624 million settlement in the Countrywide case, the roughly $124 million settlement in the New Century Financial case, and the $235 million total settlement in the Schwab Yield Plus case. [read post]
5 Jul 2010, 6:27 am
Daly also used trading accounts in various company names at National Financial Services, Goldman Sachs Execution & Clearing, LP, Charles Schwab, and Lloyds of London Market Services. [read post]
7 Jun 2010, 11:54 am
The Charles Schwab Corp. is testing it, according to the Investment News story, and National Financial Services LLC, a clearing unit of Fidelity Investments, plans to have it operating by 2011. [read post]
14 Oct 2009, 8:08 am
To accomplish this, FINRA has expanded the program to include cases against the following 14 broker-dealers (from 11 broker-dealers): Chase Investment Services (10 cases); Oppenheimer & Co. (15 cases); Raymond James Financial Services/Raymond James & Associates (10 cases); Citigroup Global Markets (60 cases); Merrill Lynch (60 cases); Morgan Stanley Smith Barney (60 cases); UBS Financial Services (60 cases); Wells Fargo Advisors (60 cases);… [read post]
6 Aug 2009, 1:43 pm
In one of FINRA's examples, an ETF seeking to deliver three times the daily return of the Russell 1000 Financial Services Index fell 53 percent while the index actually gained around 8 percent. [read post]
4 Aug 2009, 7:00 am
See posting on July 24, 2009 ("Leveraged and Inverse Exchange-Traded Funds (ETFs) Are Dangerous to Investors Financial Health"). [read post]
21 Jul 2009, 7:48 am
Schwab had marketed YieldPlus as a low risk, higher yielding alternative to money market funds. [read post]
28 Jan 2009, 2:02 pm
In 2008, there were 210 federal securities class actions filed, nearly half involved firms in the financial services sector. [read post]
23 Dec 2008, 7:00 pm
Highlights include: The proposal that asked companies to issue a sustainability report was adopted by six companies: Allegheny Technologies; Capital One Financial Corp.; CIGNA Corp.; Hartford Financial Services Group, Inc.; Dillard's, Inc.; and, Regions Financial Corp. [read post]
25 Jul 2008, 7:17 pm
Those firms include UBS Financial Services, Bear, Stearns & Co., Inc., Citigroup Global Markets, Inc., J.P. [read post]
