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22 Oct 2014, 4:23 am
(As noted here, one Libor-scandal claimant, the Charles Schwab Corporation, has filed an individual action in California state court seeking to recover damages from the Libor rate-setting banks on a number of theories, including under Section 11 of the ’33 Act.) [read post]
9 Oct 2014, 11:15 am
By Jim Butler and the Global Hospitality Group® 酒店律师 | 酒店法律博客作者 2014年9月16日 点击这里获取关于《美国人残疾法案》的最新文章 最近的Uber官司 在2014年9月9日，Uber… [read post]
9 Oct 2014, 6:38 am
Amazon, AOL, Dropbox, Ebay, Groupon, Hulu, Instagram, Microsoft, Netflix, Paypal, Spotify, Stubhub, Ticketmaster, AT&T, Cricket, Sprint, T-Mobile, Tracfone, Verizon, American Express, Chase, Citibank, Discover, Wells Fargo, Ameriprise Financial, Charles Schwab, E Trade, Fidelity, Morgan Stanley Smith Barney, T Row Price, TD Bank, Vanguard, Comcast, Direct TV, Time Warner Cable, PNC, US bancorp. [read post]
8 Oct 2014, 11:13 am
At all times alleged in this complaint, the assets of the children’s trust were held at the Charles Schwab Bank in trust accounts with account numbers ending in the four digits 5802 and 3649 (“the Schwab trust accounts”). 7. [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]
16 Sep 2014, 6:30 am
A recent article in The Washington Post, titled "Headache-free retirement planning," considered “The Charles Schwab Guide to Finances After Fifty: Answers to Your Most Important Money Questions” by Carrie Schwab-Pomerantz with Joanne Cuthbertson. [read post]
21 Jul 2014, 6:05 am
Charles Schwab & Co., Inc., Respondent (FINRA Arbitration 13-01672, July 18, 2014).As set forth in the Arbitration Decision:Claimant alleged that changes to Claimant's account verification forms were not based on any con... [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]
23 Jun 2014, 10:45 am
., DZ Bank AG, and Charles Schwab Co., sued Deutsche Bank National Trust Company in New York state court. [read post]
25 May 2014, 3:04 am
Case In PointIn a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in September 2013, Claimant Charles Schwab & Co., Inc. sought an expungement of a FINRA arbitration case filed by Respondent Baggarly.In the Matter of the FINRA Arbitration Between Charles Schwab & Co., Inc. [read post]
21 May 2014, 4:55 am
The Colorado Presiding Disciplinary Judge approved a suspension of six months and fitness for the following On November 13, 2013, [attorney] Jay made a threatening the phone call to an Arizona Charles Schwab office because he was locked out of... [read post]
13 May 2014, 11:23 am
Add to this that FINRA's Board of Governors overturned a FINRA Hearing Panel's determination that the Federal Arbitration Act precluded a FINRA rule limiting pre-dispute arbitration and held that Charles Schwab's class action waiver in an arbitration clause was a violation of FINRA rules. [read post]
12 May 2014, 8:28 pm
On April 24, 2014, Charles Schwab & Co., the financial services brokerage firm, agreed to pay $500,000 in fines and acknowledged a ruling by the Financial Industry Regulatory Authority (“FINRA”) Board of Governors, which concluded that Charles Schwab had violated FINRA rules by including a class action waiver clause in its customer agreement. [read post]
9 May 2014, 9:14 am
Board Decision Finds Charles Schwab & Co. [read post]
7 May 2014, 7:01 am
From the Desk of Jim Eccleston at Eccleston Law Offices: Charles Schwab & Co. [read post]
28 Apr 2014, 4:08 am
(As noted here, one Libor-scandal claimant, the Charles Schwab Corporation, has filed an individual action in California state court seeking to recover damages from the Libor rate-setting banks on a number of theories, including under Section 11 of the ’33 Act.) [read post]
25 Apr 2014, 8:35 am
The nonprofit advocacy group Public Citizen started an online petition entitled “Stand Up to Chuck: Demand That Charles Schwab Corporation Stop Denying Its Customers’ Rights,” collecting 17,000 signatures. [read post]
10 Feb 2014, 3:37 am
For example, here is an "Electronic Delivery Alert" that I received from Charles Schwab last year (with certain info that I deleted) that isn't a model of clarity: You elected to receive shareholder communications and submit voting instructions via the Internet. [read post]
25 Jan 2014, 5:10 pm
Wife testified at the bifurcated trial that she was "frustrated" by H's decision to retain the balance of Clorox earnings for himself, that she did not know he'd opened a separate account, and that she was cut off from accessing a Charles Schwab account that they'd opened. [read post]
4 Jan 2014, 10:31 am
In Charles Schwab v. [read post]
