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3 Feb 2021, 8:20 am
Like GameStop’s stock, this narrative is mostly speculation because the facts about the buyers and sellers and their trades are hidden in the records of Robinhood, the new online trading platform, as well as Charles Schwab and other traditional broker-dealers. [read post]
1 Feb 2021, 10:14 am
Ameritrade, Interactive Brokers, Charles Schwab, and Other Brokerage Firms for Market Manipulation and Breach of Contract appeared first on Securities Arbitration Lawyer Blog. [read post]
28 Jan 2021, 11:56 am
Ameritrade, Charles Schwab, and Other Brokerage Firms for Market Manipulation appeared first on Securities Arbitration Lawyer Blog. [read post]
4 Dec 2020, 12:49 pm
William Ellis Charles Schwab & Co., Inc. [read post]
20 Nov 2020, 6:57 am
However, these individuals remain bound by the securities arbitration agreement to arbitrate any disputes between themselves and their former customers: NAME FORMER EMPLOYERS William Ellis Charles Schwab & Co., Inc. [read post]
6 Nov 2020, 7:39 am
In that case, it should probably be anchored around clients or households rather than accounts, he said.Neesha Hathi of Charles Schwab said that her firm probably would not embrace the idea that customers wouldn’t have a choice to stick with paper but added that newer firms may want to go in that direction. [read post]
23 Oct 2020, 8:55 am
Wells Fargo Clearing Services, LLC Frank Grant IV Andrew Slocum Charles Schwab & Co., Inc. [read post]
23 Oct 2020, 3:31 am
DC Circuit Court Sustains SEC Orders Against Thaddeus North (BrokeAndBroker.com Blog)Charles Schwab to lay off 1,000 workers following merger with TD Ameritrade (CNBC Release by Maggie Fitzgerald)Holistic Wellness Business Founder Charged In Ponzi Scheme / Founder Claimed He had Cured Himself of Cancer and Awarded $2 Million from Vanderbilt for Research (DOJ Release)Man Sentenced to Nearly 3 Years in Federal Prison for Role in Lottery Scam that Defrauded Elderly Victims out of… [read post]
13 Oct 2020, 3:41 pm
The popularity of robo-advising – online investment advice generally through data algorithms and with limited human intervention – has attracted even big traditional firms like Charles Schwab and Fidelity into the game. [read post]
12 Oct 2020, 12:08 pm
This resulted in service outages not only at Robinhood but other brokerages such as Vanguard, Charles Schwab, TD Ameritrade, and Merrill Lynch[7]. [read post]
2 Oct 2020, 8:47 am
Pro Se Customer Alleges Unsuitability of Self Directed Put Sales (BrokeAndBroker.com Blog)Despite dissenting Fed vote, Charles Schwab Corp. cleared to close TD merger Tuesday, and 'Schwabitrade' looks less fearsome than anticipated (RIABiz / October 1, 2020 by Oisin Breen)Federal Jury Hands Down Guilty Verdict Against Charlotte Woman For Stealing $300,000 From An Elderly, Dementia-Afflicted Victim / Two Other Co-Conspirators Previously Pleaded Guilty for Their Role in the… [read post]
25 Sep 2020, 11:17 am
He appealed the adverse ruling, claiming that one of the arbitrators was biased towards Charles Schwab. [read post]
3 Sep 2020, 8:38 am
Forefront Capital Markets LLC Jon Scheier Edward Jones Andrew Slocum Charles Schwab & Co. [read post]
8 Aug 2020, 2:21 am
BILL SINGER ANNOUNCES POSSIBLE RETIREMENT PENDING $7.5 Million SettlementRobinhood reports more monthly trades than rivals Charles Schwab, E-Trade combined (CNBC by Kate Rooney)Disbarred Beverly Hills Lawyer Pleads Guilty to Federal Charge that He Embezzled His Client’s Money and Used It to Pay Off Debt (DOJ Release)SDNY Says You're Gonna Have To Serve Somebody (And Email Ain't Gonna Cut it) (BrokeAndBroker.com Blog)SEC Charges Interactive Brokers With Repeatedly… [read post]
31 Jul 2020, 4:48 am
Oh Lord, Won't You Buy Me A Mercedes Benz Or Get Me A PPP Loan for A Porsche or Lambo (BrokeAndBroker.com Blog)Walt Bettinger expects 'hundreds' of Charles Schwab Corp. staff tasked with wiring TD Ameritrade merger to soon soar to 'thousands' of Schwab and TD workers / The Charles Schwab Corp. [read post]
11 Jul 2020, 3:43 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5325/securities-industry-commentator/Charles Schwab says retail trading kept booming in second quarter amid market comeback (CNBC by Maggie Fitzgerald)The Futility of Futility On Display in FINRA Expungement Dispute (BrokeAndBroker.com Blog)CFTC Charges Georgia Company and Florida Residents with Precious Metals Fraud and Misappropriation… [read post]
10 Jun 2020, 12:20 pm
Eric Allen (USC) presents The Information Content Of The Tax Return (with Aydin Uysal (Senior Quantitative Portfolio Manager and Researcher, Charles Schwab)) online at Toronto today as part of its James Hausman Tax Law and Policy Workshop Series: Turkey is the only jurisdiction in which firms with exchange traded securities... [read post]
8 Jun 2020, 3:43 am
Charles Schwab gets U.S. [read post]
20 May 2020, 2:17 pm
Morgan Securities LLC HSBS Securities (USA) Inc Arts, Christopher Scarsdale Equities LLC Leeb Brokerage Services Group, Inc Bailey, Michael PFS Investments Inc Bisch, Sarah Santander Securities LLC Edward Jones Bishop, Tywan Charles Schwab & Co., Inc E Trade Securities LLC Borja, Mauricio Allstate Financial Services, LLC Botner, Ryan MML Investors Securities, LLC… [read post]
1 May 2020, 6:02 am
Langston, and Charles W. [read post]
