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16 Dec 2009, 8:35 am
The SEC staff recently notified Schwab that it intends to recommend the filing of a civil enforcement action against Schwab Investments, Charles Schwab Investment Management, Charles Schwab & Co., Inc. and the president of the funds for possible violations of the securities laws with respect to the Schwab YieldPlus Fund. [read post]
18 Nov 2009, 12:45 pm
I wrote over the summer regarding New York Attorney General Cuomo's continuing campaign for state governor, that then was taking the form of threatening litigation against Charles Schwab for refusing to take responsibility or pay liability to compensate investor loss on auction rates securities ("ARS"). [read post]
17 Nov 2009, 2:14 pm
A federal court recently certified a class action against Charles Schwab & Company, Inc. brought on behalf of investors in the Schwab YieldPlus Fund. [read post]
9 Nov 2009, 8:31 am
A federal court recently certified a class action against Charles Schwab & Company, Inc. brought on behalf of investors in the Schwab YieldPlus Fund. [read post]
2 Nov 2009, 2:15 pm
On October 14, 2009, Charles Schwab was notified that the SEC staff intends to recommend the filing of a civil enforcement action against Schwab Investments, Charles Schwab Investment Management, Charles Schwab & Co., Inc. and the president of the funds for possible violations of the securities laws with respect to the Schwab YieldPlus Fund. [read post]
29 Oct 2009, 3:22 pm
The fourteen participating firms with their case limits in parentheses are: Ameriprise Financial Services (18), Charles Schwab (10), Chase Investment Services (10), Citigroup Global Markets (60), Edward Jones (18), Fidelity Brokerage Services (10), LPL Financial (10), Merrill Lynch (60), Morgan Stanley Smith Barney (60), Oppenheimer (15), Raymond James (15), TD Ameritrade (10), UBS Financial Services (60), Wells Fargo Advisors (60). [read post]
20 Oct 2009, 8:05 am
Securities and Exchange Commission that the staff intends to recommend the filing of a civil enforcement action against Schwab Investments, Charles Schwab Investment Management, Charles Schwab & Co., Inc. and the president of the funds for possible violations of the securities laws with respect to the Schwab YieldPlus Fund and the Schwab Total Bond Market Fund. [read post]
20 Oct 2009, 5:43 am
Yield Plus and the words, Charles Schwab lawsuit, are becoming one and the same these days. [read post]
16 Oct 2009, 7:43 am
Charles Schwab acknowledged that the SEC served it with a Wells Notice related to its sale of two funds, the YieldPlus Fund and Total Bond Market Fund. [read post]
15 Oct 2009, 4:31 pm
Our securities fraud lawyers represent investors with FINRA arbitration claims against Charles Schwab. [read post]
15 Oct 2009, 2:56 pm
The San Francisco-based brokerage acknowledged earlier this week that it had received the SEC's Well Notice, which outlined possible civil enforcement actions against Schwab Investments, Charles Schwab Investment Management, Charles Schwab & Co., Inc. and the president of the YieldPlus funds for alleged violations of securities laws in connection to the two fixed-income mutual funds. [read post]
15 Oct 2009, 1:35 pm
Charles Schwab said it received a Wells notice from the SEC about two bond funds that are the subject of a class action suit and numerous arbitrations. [read post]
15 Oct 2009, 9:46 am
More Information: Schwab YieldPlus Fund Charles Schwab & Co. [read post]
15 Oct 2009, 8:52 am
In an 8-K filed today, Charles Schwab Corp. disclosed that it has received a Wells Notice from the SEC. [read post]
14 Oct 2009, 11:13 am
The Charles Schwab YieldPlus Fund class action suit has generated some serious questions for investors to consider. [read post]
14 Oct 2009, 8:08 am
To accomplish this, FINRA has expanded the program to include cases against the following 14 broker-dealers (from 11 broker-dealers): Chase Investment Services (10 cases); Oppenheimer & Co. (15 cases); Raymond James Financial Services/Raymond James & Associates (10 cases); Citigroup Global Markets (60 cases); Merrill Lynch (60 cases); Morgan Stanley Smith Barney (60 cases); UBS Financial Services (60 cases); Wells Fargo Advisors (60 cases); Ameriprise Financial Services (18 cases);… [read post]
13 Oct 2009, 4:04 pm
Investors who invested into YieldPlus Funds issued by the Charles Schwab Corp. must take immediate action to avoid being limited in recovery to the amount obtained through a class action suit. [read post]
13 Oct 2009, 2:38 pm
Investors in Charles Schwab's YieldPlus Fund have important decisions to make. [read post]
12 Oct 2009, 12:38 pm
Recently, New York Attorney General Cuomo filed suit against Charles Schwab & Co., Inc., whose founder, Charles Schwab lashed out in protest. [read post]
6 Oct 2009, 10:18 am
Charles Schwab has been trying most of the many arbitration cases filed against it related to the Charles Schwab HighYield Plus fund. [read post]
