Search for: "Charles Schwab"
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2 Apr 2012, 6:31 am
In a Final Order dated March 26, 2012, the Florida Office of Financial Regulation ("OFR") fined Charles Schwab & Co., Inc. [read post]
10 Mar 2012, 8:43 pm
Diverse Group of Securities Experts Make Recommendations For Future of Organization, SIPC, February 21, 2012 Madoff Investors Ask High Court to Review Affirmance of Trustee's ‘Net Equity’ Method, Bloomberg BNA, February 22, 2012 More Blog Posts: Appeals Court affirm SEC Finding that Broker Acted “Willfully” When Keeping IRS Lien Information from FINRA, Stockbroker Fraud Blog, February 24, 2012 FINRA Says Charles Schwab Corp. is Making Customers… [read post]
9 Mar 2012, 11:34 am
The Commission's responses to the Western Union Company and the Charles Schwab Corporation are virtually identical. [read post]
9 Mar 2012, 10:18 am
Norges has since informed the company and the SEC that the website would go into operation once the company mails its 2012 proxy statement, and Norges has provided a copy of the content that would appear on the site.The SEC staff also turned down requests by Charles Schwab Corp. and Wells Fargo & Co. to revise Norges' access proposals to remove similar website references. [read post]
9 Mar 2012, 4:29 am
In responses to The Charles Schwab Corporation, Wells Fargo & Company and The Western Union Company, the Staff indicated that it was unable to concur with the view that the companies could exclude a reference to the proponent's website in the proposal under Rule 14a-8(i)(3), which permits the exclusion of a proposal or a portion of a proposal if it is materially false or misleading. [read post]
29 Feb 2012, 9:08 pm
FINRA to Restructure BrokerCheck, Giving Investors More Power, AdvisorOne, March 2, 2012 Finra may give up lock on BrokerCheck, InvestmentNews, March 1, 2012 More Blog Posts: Appeals Court affirm SEC Finding that Broker Acted “Willfully” When Keeping IRS Lien Information from FINRA, Stockbroker Fraud Blog, February 24, 2012 FINRA Says Charles Schwab Corp. is Making Customers Waive Right to Pursue Class Action Lawsuits, Stockbroker Fraud Blog, February 8, 2012 … [read post]
28 Feb 2012, 4:16 pm
– Florida lawyer Santiago Cueto of Cueto Law Group on his blog International Business Law Advisor FINRA and Charles Schwab Battle over Class Action Waiver Clauses – Los Angeles attorney Greg Eisenreich of Barger & Wolen on the firm’s Insurance Litigation & Regulatory Law Blog Death Row Watch: Are These Innocent Men Who Are About to be Executed? [read post]
28 Feb 2012, 10:43 am
" On the same day that FINRA instituted the disciplinary proceeding, Schwab filed a lawsuit, Charles Schwab v. [read post]
28 Feb 2012, 2:31 am
Compare the costs of round-trip tickets at Merrill Lynch, Morgan Stanley, JP Morgan, Charles Schwab, and E*Trade, and you? [read post]
27 Feb 2012, 7:17 am
Charles Schwab and Wells Fargo have asked the SEC for permission to revise the Norges proposals to omit the Web site reference, but aren’t seeking to exclude them. [read post]
24 Feb 2012, 3:24 pm
Affirms SEC's Finding That Broker ‘Willfully' Withheld IRS Lien Info From FINRA, BNA, February 14, 2012 FINRA Hearing Panel Fines, Suspends Investprivate's Chairman and CEO for Failure to Disclose Tax Liens, Customer Complaints, FINRA, March 24, 2008 More Blog Posts: FINRA Says Charles Schwab Corp. is Making Customers Waive Right to Pursue Class Action Lawsuits, Stockbroker Fraud Blog, February 8, 2012 FINRA Investor Education Foundation and NFL Player… [read post]
23 Feb 2012, 11:02 am
We previously blogged that Charles Schwab has filed a declaratory judgment action against FINRA, in response to FINRA's institution of a disciplinary proceeding against the firm for requiring its customers to accept a class action waiver in its customers' agreements.... [read post]
10 Feb 2012, 4:51 pm
, Smart Money, August 23, 2011 More Blog Posts: FINRA Says Charles Schwab Corp. is Making Customers Waive Right to Pursue Class Action Lawsuits, Stockbroker Fraud Blog, February 8, 2012 SEC and SIPC Go to Court to Over Whether SIPA Protects Stanford Ponzi Fraud Investors, Stockbroker Fraud Blog, February 6, 2012 Two Ex-Credit Suisse Executives Plead Guilty to Mortgage-Backed Securities Fraud, Institutional Investor Securities Blog, February 7, 2012 [read post]
8 Feb 2012, 3:45 pm
The Financial Industry Regulatory Authority has filed a complaint against Charles Schwab Corp. [read post]
3 Feb 2012, 5:52 pm
Charles Schwab andamp; Co. violated regulatory rules by requiring customers to sign a contract with a provision waiving their rights to bring class actions against the firm, according to a complaint filed by the Financial Industry Regulatory Authority (FINRA) on Feb. 1 Schwab is one of the nationandrsquo;s largest discount brokerage firms, with more than 340 offices nationwide that together employ about 7,000 brokers. [read post]
3 Feb 2012, 9:00 am
Charles Schwab Corporation Chief Executive Walt Bettinger says client’s arbitration fees will be reimbursed if they pursue claims in litigation. [read post]
3 Feb 2012, 5:54 am
In a blog yesterday, I reported that Charles Schwab has filed a declaratory judgment action against FINRA in federal district court in Northern California in response to FINRA's institution of a disciplinary action against the firm. [read post]
2 Feb 2012, 12:32 pm
Yesterday I reported on FINRA’s enforcement action against Charles Schwab for inserting a class action waiver in its customer PDAAs. [read post]
2 Feb 2012, 6:18 am
The Financial Industry Regulatory Authority has filed a complaint alleging that Charles Schwab & Company ("Schwab") violated FINRA rules by including a provision in its customer agreement requiring customers to waive their rights to participate in class actions against the firm. [read post]
1 Feb 2012, 2:46 pm
In a very interesting development with implications for the fate of class action waivers in the securities dispute context, FINRA Enforcement filed a complaint today against broker-dealer and FINRA member Charles Schwab for including a class action waiver in its customer agreement. [read post]
