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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]
8 Apr 2010, 5:45 pm
“Similarly, if a mutual fund holds itself out as investing no more than 25 percent in a single industry but then, as actually planned, invests 50 percent in a single industry, there is no escape by blaming the industry rather than the promoter. [read post]
22 Apr 2010, 6:03 pm
Our stockbroker fraud law firm represents investors who sustained losses related to their Schwab investments. [read post]
21 Jul 2009, 12:30 pm
If you have any questions or comments regarding a Schwab YieldPlus fund investment, please contact the Alcala Law Firm. [read post]
24 Mar 2010, 8:55 pm
” Schwab invested almost 50% of the YieldPlus funds assets in these securities—despite the fact that its 1999 registration statement says that the fund will not concentrate investments in one industry. [read post]
13 Oct 2020, 3:41 pm
The popularity of robo-advising – online investment advice generally through data algorithms and with limited human intervention – has attracted even big traditional firms like Charles Schwab and Fidelity into the game. [read post]
10 Oct 2008, 2:48 pm
The list of well-known companies includes Charles Schwab, Goldman Sachs, Merrill Lynch, Smith Barney, and on and on and on... [read post]
26 Mar 2008, 1:28 pm
The fund in question, Schwab's High Yield Plus Select Fund (SWYSX) has declined twenty-two percent since January 2, 2007 due to excessive investments by the fund in subprime mortgage-related products. [read post]
15 Oct 2009, 4:31 pm
According to Investment News, between September 1 and October 1, 2009, Schwab lost 7 out of 10 YieldPlus Finra arbitration cases. [read post]
30 Sep 2011, 7:19 am
Schwab just lets all that built-up anti-tax lobbying speak for itself. [read post]
22 Nov 2011, 5:35 pm
Inc. and Charles Schwab Investment Management (CSIM). [read post]
2 Apr 2012, 6:31 am
OFR also concluded that Schwab's supervisory procedures were lacking. [read post]
16 Dec 2009, 9:23 am
“We continue to receive inquiries from investors who acquired the YieldPlus Fund as a result of Schwab’s misrepresentation of it as a low risk cash alternative investment,” said J. [read post]
23 Aug 2012, 9:50 pm
Contact an investment fraud lawyer at The Law Office of Christopher J. [read post]
26 Apr 2008, 2:06 pm
The fund has had such poor results that even the Schwab Charitable Fund has withdrawn donor investments from the Yield Plus Fund. [read post]
13 Oct 2009, 2:38 pm
Page Perry's attorneys are actively involved in representing institutional and individual investors with investment problems. [read post]
8 Jul 2014, 7:01 am
The new version includes about 80 index-based ETFs in 26 asset categories from nearly a dozen firms, including Charles Schwab Investment Management. [read post]
14 Oct 2008, 4:15 pm
This case is one of numerous individual arbitration and class action lawsuits against the San Francisco-based investment firm because of the fund. [read post]
26 Aug 2009, 9:05 am
The lawsuit alleges, in essence, that Schwab owed its customers a duty to properly understand and make accurate representations concerning the auction rate securities it sold, and that Schwab breached that duty by misrepresenting them as liquid, short-term investments without discussing the risks. [read post]
5 Nov 2015, 2:10 pm
Schwab portfolio managers allegedly invested over 25% of assets in mortgage securities and collateralized mortgage obligations. [read post]
