Search for: "Charles Schwab"
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15 Nov 2013, 3:32 pm
Clark, a broker, was terminated by Charles Schwab after it received and investigated a customer complaint that he placed unauthorized trades in their accounts. [read post]
15 Oct 2013, 8:50 am
To gain perspective, I'd urge that we take a few moments to remember what markets were like back before, say, 1965--back in the age of fixed commissions, before Charles Schwab, when we really believed Your Broker was Your Friend. [read post]
21 Sep 2013, 6:51 am
., Charles Schwab Corp., and TD Ameritrade along with other firms. [read post]
11 Jul 2013, 7:25 am
The targeted firms are reportedly: Morgan Stanley, Merrill Lynch, UBS Securities LLC, Fidelity Brokerage Services LLC, Charles Schwab & Co. [read post]
8 Jul 2013, 4:13 am
Rip out all the costs and return them to the customer – think Charles Schwab, Amazon, and Expedia.2. [read post]
14 Jun 2013, 2:14 pm
This does damage to current shareholder's because it creates a negative downward market pressure on the price of the stock at issue.The SEC judge in the case also ordered a brokerage firm owned by Charles Schwab to disgorge $1.6 million in profits and pay a $2 million fine. [read post]
24 May 2013, 6:44 am
Seemingly bucking the trend of corporations fighting to force consumers into individual arbitration to avoid class actions, Charles Schwab Corp., the prominent “discount broker,” has decided to revise its client account agreements to eliminate a provision that had reliably allowed Schwab to prevent clients from filing class actions against it, by requiring clients to take any disputes to individual arbitration. [read post]
17 May 2013, 11:41 am
We learned late yesterday that Charles Schwab backtracked on its “requirement that clients waive their right to bring class-action lawsuits. [read post]
17 May 2013, 6:09 am
As regular readers of this Blog know, Charles Schwab includes in its brokerage agreements with its customer a provision that purports to prohibit customers from bringing class actions against the firm. [read post]
17 May 2013, 4:49 am
Responding to substantial pressure from regulators and the investing public, the brokerage firm Charles Schwab reversed itself and eliminated the class action waiver clause from its pre-dispute arbitration clause in its customer account agreements. [read post]
13 May 2013, 4:00 am
Charles Schwab & Co. [read post]
9 May 2013, 11:25 am
Several amicus briefs have been filed in the appeal of FINRA's disciplinary proceeding against Charles Schwab for including in its customer agreement a class action waiver, contrary to FINRA rules. [read post]
6 May 2013, 12:28 pm
The North American Securities Administrators Association (NASAA) has addressed a letter to SEC Chair White to comment on Charles Schwab's class action waiver that it now includes in its brokerage agreements. [read post]
1 May 2013, 5:24 pm
On April 29, 2013, the Charles Schwab Corporation and related Schwab entities (including several Schwab funds) filed an action in California (San Francisco County) Superior Court asserting a variety of state common and statutory law claims as well as claims under the Securities Act of 1933. [read post]
1 May 2013, 7:11 am
Reuters also notes, The issue came into the spotlight recently after Charles Schwab Corp expanded the mandatory arbitration clauses in its customer contracts to include class action waivers. [read post]
30 Apr 2013, 11:25 am
One must question Schwab’s strategic decision-making. [read post]
19 Apr 2013, 9:30 am
Anyway, the bottom winner is Charles Schwab, for a New Yorker advertisement that, indeed, makes us shake our head. [read post]
19 Apr 2013, 5:00 am
Charles Schwab & Co., 2009 WL 3573658, at *2-4 (N.D. [read post]
27 Mar 2013, 1:12 am
For example, March 2008, investors in the Charles Schwab YieldPlus Funds initiated a securities suit alleging violations of the federal securities laws and seeking damages; the defendants in that action included the funds’ trustees. [read post]
25 Mar 2013, 1:09 am
Case Amount Links BofA/Merrill Lynch Merger $2.43 billion Here Citigroup Bondholders’ Action $730 million This Post Wells Fargo/Wachovia… [read post]
