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5 Oct 2009, 5:04 pm
The brokerage firms who have agreed to participate in the pilot program are: Ameriprise Financial Services Charles Schwab Chase Investment Services Citigroup Global Markets Edward Jones Fidelity Brokerage Services LPL Financial Merrill Lynch Morgan Stanley Smith Barney Oppenheimer Raymond James TD Ameritrade UBS Financial Services Wells Fargo Advisors / Wachovia Securities Each of the above firms has committed to participate in a limited number of cases under the program on a… [read post]
1 Oct 2009, 11:01 am
A Los Angeles based Financial Industry Regulatory Authority (FINRA) arbitration panel awarded damages to a California resident as a result of losses sustained in the Charles Schwab YieldPlus Fund. [read post]
16 Sep 2009, 7:43 am
A Los Angeles based Financial Industry Regulatory Authority (FINRA) arbitration panel awarded market adjusted damages to a California resident as a result of losses sustained in the Charles Schwab YieldPlus Fund. [read post]
15 Sep 2009, 7:37 am
Carrie Dwyer, The Charles Schwab Corp., CA, $2,974,399 10. [read post]
12 Sep 2009, 12:08 am
She says NASAA will try to figure out how to unfreeze investor assets that were purchased from firms such as Charles Schwab Corp. [read post]
10 Sep 2009, 4:13 pm
A San Francisco federal judge has issued an order certifying a class action lawsuit against Charles Schwab & Co. alleging securities law violations in connection with Schwab's beleaguered YieldPlus Fund. [read post]
10 Sep 2009, 1:33 pm
A Financial Industry Regulatory Authority (FINRA) arbitration panel in Reno, Nevada, has ruled in favor of investors and their claim against Charles Schwab (SCHW) for financial losses suffered in the Charles Schwab YieldPlus Funds. [read post]
10 Sep 2009, 12:32 pm
A Nevada based Financial Industry Regulatory Authority (FINRA) arbitration panel awarded damages to a Nevada couple as a result of losses sustained in the Charles Schwab YieldPlus Fund. [read post]
10 Sep 2009, 7:58 am
A California federal court has issued an order allowing a Schwab YieldPlus Fund lawsuit filed against Charles Schwab to proceed as class action. [read post]
1 Sep 2009, 11:08 am
We keep most trust monies at Charles Schwab. [read post]
30 Aug 2009, 3:45 pm
• New York State has sued Charles Schwab for improper sales of auction rate securities. [read post]
26 Aug 2009, 9:05 am
Will the real Charles Schwab please stand up? [read post]
26 Aug 2009, 8:30 am
Schwab, founder and chairman of the Charles Schwab Corporation, wrote in The Wall Street Journal (online.wsj.com, August 19, 2009) that his company serves almost 10 million accounts, the majority of which involve investors making their own decisions about buying, selling and holding financial products. [read post]
26 Aug 2009, 5:01 am
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… [read post]
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]
