Search for: "Charles Schwab"
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21 Feb 2013, 5:00 pm
Charles Schwab & Co, an enforcement action in which FINRA alleged that Schwab’s class action and joinder waiver language in its customer agreement violated FINRA rules that preserved the judicial class action remedy for investors and empowered arbitrators to consolidate non-class though similar claims. [read post]
21 Feb 2013, 12:48 pm
Charles Schwab amended its customer agreement to prohibit customers from bringing class actions in court. [read post]
21 Feb 2013, 10:11 am
:Waiver of Class Action or Representative ActionNeither you nor Schwab shall be entitled to arbitrate any claims as a class action or represent... [read post]
20 Jan 2013, 10:00 am
酒店律师 | www.HotelLawBlog.com网站作者 2013年1月20日 在司法部上门进行《美国残疾人法》“调查”时，可提供一些实用应对建议的酒店律师… [read post]
15 Jan 2013, 1:05 pm
) The SAA reports: Since October 2011, Charles Schwab customers have been subject to a unique provision in their customer agreements – contractual undertakings to waive participation in class actions in favor of individual arbitration of their disputes. [read post]
13 Dec 2012, 10:15 am
酒店律师 | www.HotelLawBlog.com网站作者 2011年2月28日… [read post]
16 Nov 2012, 7:31 am
Yoshioka is a class action against Charles Schwab complaining that the lien creating language in the Schwab agreement put the tax exempt status of the IRA’s at risk. [read post]
28 Oct 2012, 8:33 pm
See "New Clients Drive Steady Growth for Independent Advisors in Face of Uncertain Economic Environment, Say 2012 RIA Benchmarking Study From Charles Schwab" (July 17, 2012 press release). [read post]
9 Oct 2012, 9:54 pm
Earlier this year the company raised a $25 million Series A round of funding, which included investors Charles Schwab (the man himself) and Glynn Capital. [read post]
1 Oct 2012, 1:13 am
In what is by far the largest settlement of a credit crisis-related securities class action lawsuit, Bank of America has agreed to pay $2.43 billion to settle the suit filed against the company and certain of its directors and officers in connection with the bank’s financial crisis-driven acquisition of Merrill Lynch. [read post]
5 Sep 2012, 11:26 am
Those reports, from institutions such as Charles Schwab and NewBridge Bank, showed that tens of millions of dollars were currently being held in the name of RVG or Paul Burks, Zeek's founder. [read post]
23 Aug 2012, 9:50 pm
The Charles Schwab Corp. settled a similar case last year in which they paid almost $119 million over its YieldPlus bond fund. [read post]
16 Aug 2012, 5:46 pm
Cal., Charles Schwab Bank, N.A. et al v. [read post]
1 Aug 2012, 5:51 am
Hodge*, Managing Director, COO, PIMCO Lisa Kidd Hunt, EVP, International Services & Special Business Development, Charles Schwab & Co. [read post]
30 Jul 2012, 1:25 pm
The brokerage firm Charles Schwab & Co. had sought a declaratory judgment to the effect that the Financial Industry Regulatory Authority (FINRA) could not prevent Schwab from adding a class action waiver to its customer account agreements. [read post]
24 Jul 2012, 11:49 am
For example, Charles Schwab, the brokerage firm and investment manager, has sued 11 major banks, claiming they conspired to manipulate LIBOR. [read post]
19 Jul 2012, 6:45 am
The White Law Group continues to investigate potential FINRA arbitration claims involving Fidelity’s Ultra Short Bond Fund and Charles Schwab’s YieldPlus bond fund. [read post]
19 Jul 2012, 6:45 am
The White Law Group continues to investigate potential FINRA arbitration claims involving Fidelity’s Ultra Short Bond Fund and Charles Schwab’s YieldPlus bond fund. [read post]
9 Jul 2012, 2:56 pm
From 2005 through 2007, Montgomery sent by wire $654,600 from his client’s Charles Schwab account to his client’s Key Bank account. [read post]
9 Jul 2012, 2:56 pm
From 2005 through 2007, Montgomery sent by wire $654,600 from his client’s Charles Schwab account to his client’s Key Bank account. [read post]
