Search for: "CHARLES SCHWAB "
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25 Aug 2009, 9:01 pm
Defense Motions to Dismiss Class Action Granted because Allegations in Class Action Complaint Failed to Meet Rule 9(b)’s Requirements for Pleading Fraud with Specificity and because Class Action’s Allegations Failed under Rule 12(b)(6) New York Federal Court Holds Plaintiffs filed a putative class action against Merrill Lynch entities, Morgan Stanley entities, Citigroup entities, Charles Schwab entities and Wachovia entities, alleging inter alia violations of the… [read post]
20 Aug 2009, 11:39 am
David Markowtiz, attorney under NYAG Cuomo's Investor Protection Bureau, filed a complaint against brokerage firm Charles Schwab on Monday. [read post]
20 Aug 2009, 8:55 am
Other brokerages, including Charles Schwab, Raymond James Financial and LPL Financial are reviewing their policies concerning ETFs, with some firms posting information on their respective Web sites that inverse and leveraged ETFs "are not right for everyone. [read post]
17 Aug 2009, 3:53 pm
See related blog posting: San Francisco's Charles Schwab Corp. [read post]
17 Aug 2009, 1:09 pm
Cuomo today filed a lawsuit against Charles Schwab & Co. [read post]
17 Aug 2009, 11:02 am
Our colleagues at The Am Law Litigation Daily caught up with the Quinn Emanuel partner defending Charles Schwab against allegations that it manipulated the auction-rate securities market. [read post]
17 Aug 2009, 9:33 am
New York Attorney General Andrew Cuomo filed a lawsuit today against The Charles Schwab Corp., claiming the brokerage firm misled customers about the safety of auction rate securities â€â [read post]
17 Aug 2009, 7:31 am
Andrew Cuomo, the AG of New York, told Charles Schwab Corp. last month to agree to a settlement in which the brokerage firm would buy back auction-rate securities from investors who wound up stuck with them when the market froze. [read post]
7 Aug 2009, 2:22 pm
Since the collapse of Lehman Brothers last September, investors have withdrawn over $100 billion from traditional, full-service brokerage firms, and deposited $32.2 billion into the two largest online brokerage firms - TD Ameritrade and Charles Schwab. [read post]
6 Aug 2009, 1:43 pm
Fidelity Investment has joined Charles Schwab and Morgan Stanley Smith Barney in warning customers about the complexity and risks of Leveraged Exchange Traded Funds (ETFs), reported Daisy Maxey in her article, "Fidelity the Latest to Caution on ETFs," published in the August 4 Wall Street Journal. [read post]
4 Aug 2009, 7:00 am
Firms that have not been subpoenaed, such as Charles Schwab and Morgan Stanley Smith Barney, are sounding cautionary notes, warning of the intricacies of these products, but still selling them to retail investors. [read post]
3 Aug 2009, 8:12 am
" Charles Schwab says it is warning clients to "proceed with extreme caution" because "these funds may not give you the returns you may be expecting. [read post]
24 Jul 2009, 10:34 am
The Richmond Credit Abuse cite that "The number of bankruptcy petitions among 18-24 year olds increasing by 96% in the 10 years" A 2006 article by Tamara Draut entitled "Strapped: Why America's 20 and 30 Something's Can't Get Ahead" Only 1 in 3 teens knows how to read a bank statement, balance check book or pay bills: Source Charles Schwab Teens and Money 2007. [read post]
21 Jul 2009, 2:51 pm
New York Attorney General Andrew Cuomo has sent a letter to Charles Schwab & Co. giving notice of his intent to bring a civil fraud suit against the brokerage firm for its sales practices in connection with auction rate securities. [read post]
21 Jul 2009, 12:30 pm
So far, Charles Schwab has denied the attorney general's allegations. [read post]
20 Jul 2009, 2:44 pm
Schwab claims Mr. [read post]
6 Jul 2009, 6:41 am
According to the article, some of the more common claims brought by investors involve losses in bond funds issued by Regions Bank (RMK funds), Oppenheimer Funds (Oppenheimer's Champion Income Fund) and Charles Schwab (Yield Plus funds). [read post]
18 Jun 2009, 2:15 pm
It now appears that Charles Schwab & Co. engaged in similar acts. [read post]
9 Jun 2009, 9:32 pm
The settlement could be a sign that other fund providers, including Morgan Keegan, Charles Schwab Corp., and Fidelity Investments, may face similar lawsuits. [read post]
Evergreen Pays Over $40 Million to Settle SEC Charges that it Overvalued Mortgage-Backed Investments
9 Jun 2009, 10:53 am
Reuters noted that Charles Schwab, Morgan Keegan and Fidelity Investments face numerous arbitrations and lawsuits related to the steep losses in their short term bond funds that held high-risk, illiquid mortgage-backed securities. [read post]
