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30 May 2012, 9:29 pm
FINRA 2012 Annual Conference, FINRA FINRA Actions in 2012 on Track To Match 2011's Record, Official Says, Bloomberg/BNA, May 25, 2012 More Blog Posts: Apple REIT Arbitration: FINRA Rules Against David Lerner Associates in First of Hundreds of Cases, Stockbroker Fraud Blog, May 26, 2012 Charles Schwab Corp. [read post]
30 May 2012, 11:54 am
Both the DOJ and private plaintiffs have had tremendous success with website accessibility lawsuits under the ADA (see the discussion below and related articles about the Hilton International consent decree and the Charles Schwab class action case), and they are growing impatient for compliance. [read post]
24 May 2012, 9:34 pm
Boilermaker union president resorts to litigation against satirical site [Levy; another case on demands for disclosure of anonymous commenters] More on ghastly NY bill to strip protection from anonymous online speech [David Kravets/Wired, Daily Caller, my take] Defending people like Aaron Worthing and Patterico shouldn’t be a left-right matter [Popehat, Tapscott/Examiner, earlier] Maryland and indeed all states need stronger statutory protection against vexatious litigants [Ace of Spades]… [read post]
24 May 2012, 9:06 am
See Charles Schwab & Co., Inc. v. [read post]
18 May 2012, 7:13 am
Charles Schwab & Co. v. [read post]
17 May 2012, 6:22 am
The Charles Schwab Corp. last year bought optionsXpress Holdings Inc., the parent company of brokersXpress. [read post]
16 May 2012, 3:28 pm
A federal judge has thrown out a lawsuit filed by Charles Schwab Corp. [read post]
14 May 2012, 12:57 pm
Regular readers of this blog will recall that Charles Schwab and FINRA are involved in a dispute over the SRO's rules that prohibit broker-dealers from requiring customers to give up their rights to bring class actions in court. [read post]
11 May 2012, 2:57 pm
This high-profile development was part of the settlement of a claim by Kit Lau, a Charles Schwab customer for more than 25 years. [read post]
10 May 2012, 3:19 pm
Things are still in the early stages though; shareholders will vote on proxy access proposals at Charles Schwab and Princeton National Bancorp on May 17 and at Western Union and CME Group on May 23. [read post]
7 May 2012, 3:36 pm
This high-profile development was part of the settlement of a claim by Kit Lau, a Charles Schwab customer for more than 25 years. [read post]
5 May 2012, 10:37 am
Originally posted in April of 2009… why do so few people know this even today, in 2012? [read post]
30 Apr 2012, 11:54 pm
The Securities and Exchange Commission is accusing optionsXpress, a Charles Schwab Corp. [read post]
26 Apr 2012, 3:51 pm
Similar Norges Bank proposals are slated for votes at Charles Schwab Corp. and Pioneer Natural Resources on May 17 and at Western Union and CME Group on May 23. [read post]
26 Apr 2012, 8:40 am
ability to meet their investment goals in the current environment, according to two new companion surveys released today by Charles Schwab Advisor Services:The 11th semi-annual Independent Advisor Outlook Study, surveyed almost 900 RIAs representing $204 billion in assets under management, and found that 45 percent of independent advisors are bullish about the market in the six months; andfirst-time survey of 504 high net worth (HNW) investors found that only 29 percent are bullish… [read post]
24 Apr 2012, 11:46 am
Schwab sued FINRA in the U.S. [read post]
FINRA Proposal Giving Collective Actions Exemption from Arbitration Gains SEC’s Accelerated Approval
24 Apr 2012, 11:13 am
.; Notice of Filing of Proposed Rule Change , FINRA, January 5, 2012 Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, SEC, April 9, 2012 (PDF) More Blog Posts: FINRA Says Charles Schwab Corp. is Making Customers Waive Right to Pursue Class Action Lawsuits, Stockbroker Fraud Blog, February 8, 2012 Citigroup Global Markets Inc. [read post]
20 Apr 2012, 2:52 pm
Similar Norges proposals are slated for votes at Charles Schwab Corp. and Pioneer Natural Resources on May 17, and at Western Union and CME Group on May 23. [read post]
19 Apr 2012, 12:29 pm
In September 2011, optionsXpress became a wholly-owned subsidiary of The Charles Schwab Corporation. [read post]
16 Apr 2012, 6:26 am
Hutcheson allegedly directed the record keeper of the G Fiduciary Plan to send a total of $2,031,688 via 12 wire transfers from the plan’s account, which was kept at Charles Schwab & Co. [read post]
