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18 Mar 2011, 6:22 am
Charles Schwab & Co., 2011 U.S. [read post]
16 Mar 2011, 3:21 pm
7 Mar 2011, 12:17 pm
The same is true in all other cases, including pending cases against the issuers and underwriters or FannieMae, FreddieMac, American Home Mortgage, and the countless issues of the preferred and debt securities of Wachovia, Merrill Lynch, Morgan Stanley, and others, including Charles Schwab (YieldPlus). [read post]
7 Mar 2011, 12:25 am
This is similar to the opinion on the interpretation of a class settlement have gave in the Charles Schwab Securities Litigation case. [read post]
4 Mar 2011, 5:06 am
Five years ago, I wrote that brokerage was a waning profession: As a business, classical real estate brokerage is facing the kind of big-bang price drop that confronted stock brokers when Charles Schwab and others introduced first discount and then on-line brokerage. [read post]
28 Feb 2011, 2:43 pm
On February 11, FINRA notified Charles Schwab that it has decided not to bring a disciplinary action against it related to sales of auction rate securities. [read post]
11 Feb 2011, 7:52 am
Maybe we should send Newark a list of the other firms.andnbsp;(Ameriprise, Oppenheimer, Merrill Lynch, Handamp;R Block Financial Advisors, Charles Schwab, etc.). andnbsp;I guess after UBS rolled over for New York and Massachusetts, the New Jersey regulators had to work real hard to get UBS to settle with New Jersey, and of course, just like the sweetheart deal they cut with New York, this probably only applies to Auction Rate Securities currently held in UBS accounts, and does not… [read post]
16 Jan 2011, 11:14 am
Charles Schwab agreed to pay the SEC $118 million to settle securities and fraud charges arising from its sale of its “YieldPlus” branded funds. [read post]
14 Jan 2011, 8:55 am
The SEC recently announced that it had settled with Charles Schwab Investment Management and Charles Schwab & Co., Inc. with making misleading statements regarding the Charles Schwab YieldPlus Fund and for failing to establish proper policies to prevent the misuse of material, non-public information. [read post]
13 Jan 2011, 5:00 am
According to SEC charges, Charles Schwab failed to do this with its YieldPlus Fund in 2007. [read post]
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, 3:18 pm
Indeed, even Charles Schwab got hit by the SEC for $119 million for allegedly making misleading statements regarding the risks associated with a bond mutual fund containing mortgage-backed securities. [read post]
11 Jan 2011, 1:25 pm
The Securities and Exchange Commission is starting the year with a bang, announcing a $119 million settlement with the Charles Schwab Corp. for misleading investors and failing to prevent the misuse of nonpublic information. [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
The SEC charged Charles Schwab Investment Management (CSIM) and Charles Schwab & Co., Inc. [read post]
10 Jan 2011, 12:14 am
Indeed, just three settlements account for $1.335 billion of the aggregate settlement amount – Countrywide ($624 million), Merrill Lynch ($475 million) and Charles Schwab YieldPlus ($235 million). [read post]
31 Dec 2010, 8:41 pm
The following information regarding broker misconduct and disciplinary activities taken against California stockbrokers was released by the Financial Industry Regulatory Authority (FINRA) in October, November and December 2010: Michael Scott Silva, with Charles Schwab & Co., Inc. in Santa Rosa, CA, was fined $5,000 and suspended from association with any FINRA member in any capacity for 10 business days in connection with the recommendation to a customer to invest… [read post]
17 Dec 2010, 9:00 am
Some of them are the Ameriprise Financial Services, Wells Fargo Advisors, LPL Financial, and Edward Jones, Charles Schwab, Chase Investment Services, Morgan Stanley Smith Barney, Raymond James, Merrill Lynch and some others. [read post]
13 Dec 2010, 5:50 pm
JP Morgan also indicated that the company is being sued for mortgage backed securities by other companies, such as Charles Schwab and Cambridge Place Investment Management. [read post]
