Search for: "CHARLES SCHWAB "
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22 Mar 2013, 12:47 pm
(We recently reported here, for example, that a FINRA disciplinary hearing panel permitted Charles Schwab & Company, Inc. to maintain its predispute arbitration provision in its customer agreement that includes a class action waiver). [read post]
19 Mar 2013, 9:51 am
Jill Gross and I critique the FINRA hearing panel's recent decision in a disciplinary proceeding against Charles Schwab, holding that FINRA's arbitration rule prohibiting class action waivers was unenforceable, at the CLS Blue Sky Blog. [read post]
14 Mar 2013, 2:12 pm
Our colleagues at the Trade Secrets & Noncompete Blog have written an excellent summary of a case filed by Charles Schwab & Co. [read post]
14 Mar 2013, 1:10 pm
In a new case filed by Charles Schwab & Co. [read post]
14 Mar 2013, 12:10 pm
In a new case filed by Charles Schwab & Co. [read post]
14 Mar 2013, 11:00 am
As stated in Charles Schwab, “[t]he burden is clearly with an employer to demonstrate that a legitimate and substantial justification exists for a rule that adversely impacts employee Section 7 rights. [read post]
10 Mar 2013, 10:04 pm
The Concepcion decision has had a sweeping impact, as was seen most recently in a February 21, 2013 FINRA Hearing Panel decision in a enforcement action involving Charles Schwab & Company. [read post]
6 Mar 2013, 7:00 am
Consequently, the hearing panel allowed FINRA to impose sanctions on Charles Schwab based solely on that claim. [read post]
5 Mar 2013, 11:42 am
On February 21, 2013, a Financial Industry Regulatory Authority (FINRA) disciplinary hearing panel permitted Charles Schwab & Company, Inc. to maintain its predispute arbitration provision in its customer agreement that includes a class action waiver (pdf). [read post]
3 Mar 2013, 9:18 am
Charles Schwab Corp. modified their account agreements last year, prohibiting class-action lawsuits and restricting the ability of consumers to consolidate arbitration cases. [read post]
1 Mar 2013, 9:11 am
Have you been following the FINRA v Charles Schwab ("Schwab") battle? [read post]
1 Mar 2013, 4:11 am
Have you been following the FINRA v Charles Schwab (“Schwab”) battle? [read post]
1 Mar 2013, 4:11 am
Have you been following the FINRA v Charles Schwab (“Schwab”) battle? [read post]
28 Feb 2013, 11:58 am
” The decision arises from a Complaint filed on February 1, 2012 by FINRA’s Department of Enforcement against Charles Schwab & Co., Inc. [read post]
28 Feb 2013, 10:42 am
On February 21, a FINRA panel upheld an arbitration clause in a Charles Schwab and Co. customer agreement which requires all disputes be brought in a FINRA-run arbitration forum. [read post]
26 Feb 2013, 3:18 pm
As readers of this blog know, last week a FINRA hearing officer refused to enforce FINRA's rules prohibiting broker-dealers from including class action waivers in their customers' agreements, in a big win for Charles Schwab. [read post]
26 Feb 2013, 2:14 pm
This article was originally posted on Stock Market LossYesterday, we discussed an anti-investor ruling that permits Charles Schwab & Company to force its customers to waive their right to participate in class actions against Schwab. [read post]
25 Feb 2013, 3:16 pm
Charles Schwab & Company is a FINRA member. [read post]
25 Feb 2013, 9:31 am
FINRA Department of Enforcement recently brought an enforcement action against Charles Schwab (“Schwab”) after the firm amended its customer account agreement to include provisions that would require customers to waive their rights to bring or participate in judicial class actions against the firm. [read post]
25 Feb 2013, 2:05 am
FULL TEXT FINRA Decision On Charles Schwab Arbitration AgreementWith Analysis By Bill SingerAround October 1, 2011, Charles Schwab & Co. amended its Customer Account Agreement to include this waiver:Waiver of Class Action or Representative ActionNeither you nor Schwab shall be entitled to arbitrate any claims as a class action or representative action, and the arbitrator(s) shall have no authority to consolidate more than one parties’ [sic]… [read post]
