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2 Jun 2009, 6:31 pm
Others opposed to the proposed changes have noted the following additional points with regards to client protections already in place when an adviser uses a qualified custodian: The third party custodian already acts as a gatekeeper to the advisors ability to pull funds from client accounts, making it virtually impossible for a an advisor using a major third party custodian, such as Charles Schwab, TD Ameritrade, Fidelity, etc.) to ‘drain the account’ through… [read post]
1 Jun 2009, 9:10 pm
., Charles Schwab Corp., and E*Trade Financial Corp also engaged in ARS-related violations. [read post]
29 May 2009, 2:51 pm
Several class action lawsuits and many arbitrations have been filed against brokerage firms such as Citigroup, Morgan Keegan and Charles Schwab (among others) for similar practices. [read post]
13 May 2009, 3:08 am
As reflected in a May 12, 2009 Chicago Tribune article (here), Aldinger serves on the board of four other publicly traded companies: Illinois Tool Works; AT&T; Charles Schwab Corp.; and KKR Financial Holdings LLC. [read post]
23 Apr 2009, 11:33 am
Pottruck, the former chief executive of Charles Schwab, is close to joining Exigen Capital, a small technology-focused private equity firm, according to a person briefed on the situation. [read post]
15 Apr 2009, 11:16 am
It's supposed to promote Charles Schwab. [read post]
3 Apr 2009, 8:55 am
In addition to letters from corporate law firms and trade associations, various companies sent in comments, including: Intel, ExxonMobil, ConocoPhillips, Cardinal Health, Boeing, General Motors, JPMorgan Chase, FedEx, Eli Lilly, Chevron, and Charles Schwab. [read post]
14 Mar 2009, 5:53 am
Here, Part VI proved prescient because a recent district court opinion, In re Charles Schwab Corp. [read post]
28 Jan 2009, 2:02 pm
The class action complaint alleges that Charles Schwab Corporation issued untrue statements regarding the lack of diversification of these funds and the extent of investments assigned to sub-prime mortgage backed and related securities. [read post]
28 Jan 2009, 7:56 am
Related Web Resources: Arbitration Process, FINRA Charles Schwab YieldPlus funds [read post]
23 Dec 2008, 7:00 pm
Shareholder support for the proposal trended upward at Charles Schwab Corp., from 25.0 percent in 2007 to 28.0 percent in 2008; at Halliburton Company, from 24.4 percent to 32.1 percent; and at Union Pacific Corp., from 29.0 percent to 35.4 percent. [read post]
15 Dec 2008, 8:16 am
Last week someone brought to my attention advice being given by Charles Schwab to the effect that one should "prepay" state estimated income taxes due in January by sending the check in December 2008 rather than in January 2009. [read post]
9 Dec 2008, 10:07 pm
Klein previously had held marketing and communications positions in the financial services industry, including posts at Bank of America, Charles Schwab, MasterCard International, and Morgan Stanley. [read post]
5 Dec 2008, 11:31 pm
In June of last year, the informant gave the gang the routing number for a new drop account to send stolen funds into -- in actuality, the account was under law enforcement's control, and the feds watched as it received transfers of $15,400 and $4,700 from two hacked Charles Schwab trading accounts. [read post]
20 Nov 2008, 5:41 pm
 Those also include the custodians for investment advisers like Charles Schwab and TD and Fidelity who are putting together other benefits to encourage reps to join their firms. [read post]
27 Oct 2008, 7:48 pm
According to a recent Charles Schwab survey, here are the reasons people give for wanting to work in the years that might be considered "retirement. [read post]
14 Oct 2008, 4:15 pm
Earlier this month, a Financial Industry Regulatory Authority panel found Charles Schwab Corp. liable for $542,340 in an investor claim against the company over its YieldPlus short-term bond fund. [read post]
13 Oct 2008, 10:22 pm
An arbitration panel in Minnesota has ordered Charles Schwab to pay $542,340 to an investor in the Schwab YieldPlus Fund. [read post]
10 Oct 2008, 2:48 pm
The list of well-known companies includes Charles Schwab, Goldman Sachs, Merrill Lynch, Smith Barney, and on and on and on... [read post]
4 Oct 2008, 5:00 am
Charles S. [read post]
