Search for: "The Charles Schwab Corporation"
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13 Nov 2014, 12:01 pm
The SEC Enforcement Division’s Municipal Securities and Public Pensions Unit detected improper sales of Puerto Rico junk bonds below a $100,000 minimum denomination set in a $3.5 billion offering earlier this year , and identified the following thirteen firms behind those improper sales:: Charles Schwab & Co., Hapoalim Securities USA, Interactive Brokers LLC, Investment Professionals Inc., J.P. [read post]
13 Nov 2014, 5:22 am
According to the Financial Industry Regulatory Authority’s BrokerCheck system, there have been four customer complaints filed against former Sigma Financial Corporation (Sigma) and current Charles Schwab broker, Mark Johanson (Johanson) stemming from unsuitable Tenants-in-Common (TIC) investments. [read post]
5 Nov 2014, 2:56 pm
The following firms were sanctioned: Charles Schwab & Co. [read post]
4 Nov 2014, 7:10 am
The SEC’s subsequent investigation identified a total of 66 occasions when dealer firms sold the Puerto Rico bonds to investors in amounts below $100,000.The agency instituted administrative proceedings against the firms behind those improper sales: Charles Schwab & Co., Hapoalim Securities USA, Interactive Brokers LLC, Investment Professionals Inc., J.P. [read post]
22 Oct 2014, 4:23 am
(As noted here, one Libor-scandal claimant, the Charles Schwab Corporation, has filed an individual action in California state court seeking to recover damages from the Libor rate-setting banks on a number of theories, including under Section 11 of the ’33 Act.) [read post]
9 Oct 2014, 6:38 am
Amazon, AOL, Dropbox, Ebay, Groupon, Hulu, Instagram, Microsoft, Netflix, Paypal, Spotify, Stubhub, Ticketmaster, AT&T, Cricket, Sprint, T-Mobile, Tracfone, Verizon, American Express, Chase, Citibank, Discover, Wells Fargo, Ameriprise Financial, Charles Schwab, E Trade, Fidelity, Morgan Stanley Smith Barney, T Row Price, TD Bank, Vanguard, Comcast, Direct TV, Time Warner Cable, PNC, US bancorp. [read post]
28 Apr 2014, 4:08 am
(As noted here, one Libor-scandal claimant, the Charles Schwab Corporation, has filed an individual action in California state court seeking to recover damages from the Libor rate-setting banks on a number of theories, including under Section 11 of the ’33 Act.) [read post]
25 Apr 2014, 8:35 am
The nonprofit advocacy group Public Citizen started an online petition entitled “Stand Up to Chuck: Demand That Charles Schwab Corporation Stop Denying Its Customers’ Rights,” collecting 17,000 signatures. [read post]
10 Feb 2014, 3:37 am
For example, here is an "Electronic Delivery Alert" that I received from Charles Schwab last year (with certain info that I deleted) that isn't a model of clarity: You elected to receive shareholder communications and submit voting instructions via the Internet. [read post]
24 May 2013, 6:44 am
Seemingly bucking the trend of corporations fighting to force consumers into individual arbitration to avoid class actions, Charles Schwab Corp., the prominent “discount broker,” has decided to revise its client account agreements to eliminate a provision that had reliably allowed Schwab to prevent clients from filing class actions against it, by requiring clients to take any disputes to individual arbitration. [read post]
1 May 2013, 5:24 pm
On April 29, 2013, the Charles Schwab Corporation and related Schwab entities (including several Schwab funds) filed an action in California (San Francisco County) Superior Court asserting a variety of state common and statutory law claims as well as claims under the Securities Act of 1933. [read post]
1 May 2013, 7:11 am
Reuters also notes, The issue came into the spotlight recently after Charles Schwab Corp expanded the mandatory arbitration clauses in its customer contracts to include class action waivers. [read post]
27 Mar 2013, 1:12 am
For example, March 2008, investors in the Charles Schwab YieldPlus Funds initiated a securities suit alleging violations of the federal securities laws and seeking damages; the defendants in that action included the funds’ trustees. [read post]
10 Mar 2013, 10:04 pm
The Concepcion decision has had a sweeping impact, as was seen most recently in a February 21, 2013 FINRA Hearing Panel decision in a enforcement action involving Charles Schwab & Company. [read post]
25 Feb 2013, 3:16 pm
Charles Schwab & Company is a FINRA member. [read post]
13 Dec 2012, 10:15 am
., Courtyard Management Corporation）（1996年）、6号汽车旅馆有限合伙公司（Motel 6 Operating LP）（2004年和2007年）和巴斯酒店和度假村集团（Bass Hotels and… [read post]
1 Oct 2012, 1:13 am
According to Alison Frankel’s blog post, the plaintiffs attorneys intend to seek attorneys’ fees of $150 million In addition to the monetary amount, BofA also agreed as part of the settlement to certain corporate governance reforms. [read post]
16 Aug 2012, 5:46 pm
Cal., Charles Schwab Bank, N.A. et al v. [read post]
5 May 2012, 10:37 am
Originally posted in April of 2009… why do so few people know this even today, in 2012? [read post]
26 Apr 2012, 3:51 pm
Similar Norges Bank proposals are slated for votes at Charles Schwab Corp. and Pioneer Natural Resources on May 17 and at Western Union and CME Group on May 23. [read post]
