Search for: "Schwab YieldPlus Fund"
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11 Jan 2011, 8:44 pm
Today, Charles Schwab & Co. and Charles Schwab Investment Management agreed to settle securities fraud charges filed by the Securities & Exchange Commission (SEC) stemming from the YieldPlus fund. [read post]
11 Jan 2011, 7:58 pm
On January 11, 2011, the Securities and Exchange Commission sued Charles Schwab Investment Management and Charles Schwab & Co., Inc. over alleged misleading statements regarding the Schwab YieldPlus Fund and failing to establish, maintain and enforce policies and procedures to prevent the misuse of material, nonpublic information. [read post]
11 Jan 2011, 4:40 pm
Regulators accused the company of misleading investors in its YieldPlus bond fund, which contained risky mortgage-backed securities. [read post]
11 Jan 2011, 10:44 am
FINRA announced that it has ordered Charles Schwab & Company, Inc., to pay $18 million into a Fair Fund to be established by the Securities and Exchange Commission (SEC) to repay investors in YieldPlus, an ultra short-term bond fund managed... [read post]
11 Jan 2011, 10:36 am
(CS&Co.) with making misleading statements regarding the Schwab YieldPlus Fund and failing to establish, maintain and enforce policies and procedures to prevent the misuse of material,... [read post]
21 Dec 2010, 6:31 am
Investors in the Schwab YieldPlus who are currently class members of the pending case In Re Schwab Corp. [read post]
22 Nov 2010, 12:04 am
Schwab YieldPlus Settlement Back On? [read post]
12 Nov 2010, 12:51 pm
The Charles Schwab Corp. filed a notice of withdrawal from a settlement that it had negotiated to end a class action regarding the mismarketing of its YieldPlus Fund, according to a Law360 article by Pete Brush. [read post]
10 Nov 2010, 12:17 pm
On November 8 Charles Schwab announced that it was invoking the termination clauses in settlement agreements in a consolidated class action lawsuit relating to the Schwab YieldPlus Fund®. [read post]
9 Nov 2010, 8:24 am
The San Francisco Chronicle reported today that Charles Schwab plans to terminate their agreement to settle a class action lawsuit filed on behalf of shareholders in Schwab's YieldPlus fund--an ultra-short-term-bond fund. [read post]
20 May 2010, 9:59 am
Recently, a California federal district court judge granted a summary judgment motion filed by plaintiffs in class action litigation relating to the Schwab YieldPlus mutual fund. [read post]
7 May 2010, 5:00 am
The plaintiffs to the suit are shareholders of the Schwab YieldPlus Fund, an ultra-short bond fund that invested primarily in fixed income instruments, including mortgage-backed securities and corporate bonds. [read post]
7 May 2010, 2:13 am
More About the Schwab YieldPlus Securities Class Action Lawsuit Settlement: In an earlier post (here), I reviewed the $200 million settlement in the Schwab YieldPlus subprime related securities class action lawsuit. [read post]
28 Apr 2010, 12:49 pm
YieldPlus investors shareholders suffered millions of dollars in losses when the fund invested much of its assets in mortgage-backed securities that were not insured. [read post]
23 Apr 2010, 2:41 am
The Countrywide settlement comes close on the heels of the $200 million Schwab YieldPlus settlement. [read post]
21 Apr 2010, 2:06 am
As reflected in the plaintiffs’ second amended complaint, the plaintiffs alleged that Schwab and related entities, as well as certain Schwab directors and officers, violated federal and state securities laws and other state laws in representations made about Schwab’s YieldPlus Fund, a short-term fixed income mutual fund. [read post]
20 Apr 2010, 9:46 am
Charles Schwab has agreed to settle a securities class action lawsuit filed in San Francisco federal court on behalf of investors who purchased its YieldPlus Fund. [read post]
20 Apr 2010, 8:46 am
Charles Schwab has agreed to settle a securities class action lawsuit filed in San Francisco federal court on behalf of investors who purchased its YieldPlus Fund. [read post]
14 Apr 2010, 8:25 am
Schwab touted its YieldPlus Fund as a near cash equivalent or money market fund. [read post]
8 Apr 2010, 5:45 pm
Plaintiffs say Schwab violated securities laws by telling investors it would only put up to 25 percent of the assets in its YieldPlus fund in any one industry. [read post]
