Search for: "Schwab Investments"
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29 Oct 2009, 9:33 am
In addition to eliminating fees tied to that database service, Schwab also announced it added a scorecard that lets advisers measure and track whether their employees are using Schwab online tools. [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]
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]
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]
17 Aug 2009, 1:09 pm
("Schwab") charging the discount brokerage firm for falsely representing auction rate securities as liquid, short-term investments without discussing the risks. [read post]
17 Nov 2010, 6:01 pm
The S.E.C. is examining whether Charles Schwab misled its clients about a fund that was supposed to be safe, but was packed with subprime investments. [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]
19 Jul 2021, 3:32 am
Many investors were recommended this open-ended hedge fund by Creative Planning, Pine Oak Investment Advisors, or other registered investment advisors (RIAs) that Charles Schwab Corporation referred them to. [read post]
11 Jan 2011, 10:36 am
The SEC charged Charles Schwab Investment Management (CSIM) and 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 approximately $52 million… [read post]
11 Jan 2011, 8:44 pm
Today, Charles Schwab & Co. and Charles Schwab Investment Management agreed to settle securities fraud charges filed by the Securities & Exchange Commission (SEC) stemming from the YieldPlus fund. [read post]
7 May 2010, 5:00 am
The plaintiffs to the suit are shareholders of the Schwab YieldPlus Fund, an ultra-short bond fund that invested primarily in fixed income instruments, including mortgage-backed securities and corporate bonds. [read post]
7 Jun 2023, 11:57 am
Charles Schwab and Pinnacle Associates, a registered investment advisory firm, were ordered to pay a former customer roughly $800,000 over an options strategy that the customer claimed was misrepresented, went awry, and ultimately forced her to sell hundreds of shares of Apple (ticker: AAPL).A three-person Finra arbitration panel issued the award in favor [...] [read post]
30 Sep 2021, 5:08 am
Registered Investment Advisors like Charles Schwab Investment Advisory owe fiduciary duties to their customers. [read post]
20 Oct 2009, 5:43 am
Tell us about your Schwab Yield Plus investments by leaving a message in the comment box, or the Contact Us page. [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]
5 Dec 2019, 9:01 pm
Another subsidiary, Charles Schwab Investment Management, Inc. [read post]
28 Apr 2010, 12:49 pm
A federal court has held that Schwab's mutual fund managers contradicted its policy of limiting money invested in a particular industry to 25 percent. [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]
10 Sep 2009, 1:33 pm
Specifically, the Kellys' arbitration claim (FINRA Case No. 08-02307) alleged that Charles Schwab marketed and sold the Schwab YieldPlus Funds as a conservative investment alternative to money market funds. [read post]
