Search for: "Schwab Investments"
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11 Jul 2007, 5:24 pm
The company lowered its commissions, stepped-up its "no-nonsense" investment advice and earned a record $1.2 billion last year. [read post]
21 Apr 2010, 2:06 am
The complaint alleges that the Fund’s shareholders lost up to 36% of their "supposedly safe cash investment. [read post]
8 Feb 2012, 3:45 pm
At Shepherd, Smith, Edwards and Kantas, LTD, LLP, our stockbroker fraud lawyers represent institutional and individual clients with individual securities claims and lawsuits against investment advisers and financial firms. [read post]
16 May 2012, 3:28 pm
At Shepherd Smith Edwards, and Kantas, LTD, LLD our FINRA arbitration lawyers represent investors with claims against brokerage firms, brokers, and investment advisers. [read post]
26 Apr 2012, 8:40 am
ability to meet their investment goals in the current environment, according to two new companion surveys released today by Charles Schwab Advisor Services:The 11th semi-annual Independent Advisor Outlook Study, surveyed almost 900 RIAs representing $204 billion in assets under management, and found that 45 percent of independent advisors are bullish about the market in the six months; andfirst-time survey of 504 high net worth (HNW) investors found that only 29 percent are bullish… [read post]
21 Jul 2009, 2:51 pm
Auction rate securities are variable rate instruments in which the rates are determined through periodic auctions, but since the auction markets collapsed in February 2008 the investors holding such securities have been unable to liquidate their investments. [read post]
27 Oct 2011, 2:42 pm
A study by the Charles Schwab Corporation indicates that retail investors want more information about the bonds they invest in, specifically, the base price of bonds and the amount of the markup by brokers. [read post]
30 Mar 2020, 8:40 am
Risks Tied To CYES Strategy Investments Cause More Losses During The Coronavirus For the past year, our CYES Strategy fraud lawyers at Shepherd Smith Edwards and Kantas (SSEK Law Firm) have been working with investors who suffered losses from Collateral Yield Enhancement Strategy (CYES) Investments that were issued by Harvest Volatility Management but were sold by brokers from Morgan Stanley, JP Morgan, Fidelity, Charles Schwab, and other broker-dealers. [read post]
21 Dec 2009, 10:14 am
Shepherd Smith Edwards and Kantas, LLP represents investors throughout the US who suffered financial losses from investing in Schwab YieldPlus funds. [read post]
30 Nov 2011, 12:57 pm
In another example of brokerage firms catering to retail investors’ worst instincts, supposedly investor-friendly firms like Charles Schwab and TD Ameritrade are focusing on expanding their trading business beyond traditional investment like stocks and bonds into alternative investments like options because the commissions are so high. [read post]
26 Aug 2008, 2:53 pm
Cuomo's next targets in the ARS debacle are secondary market firms such as Fidelity and Schwab. [read post]
11 Jul 2013, 7:25 am
The targeted firms are reportedly: Morgan Stanley, Merrill Lynch, UBS Securities LLC, Fidelity Brokerage Services LLC, Charles Schwab & Co. [read post]
15 Jul 2019, 9:01 am
Fidelity, Jefferies, Merrill Lynch, Morgan Stanley, and Charles Schwab are among the firms that reportedly have sold CYES Strategy investments to clients. [read post]
3 Jan 2023, 3:20 am
Federal Court Says Customer Had Duty To Notify Schwab of Malfunctioning Order System (BrokeAndBroker.com Blog)Removal of FINRA Arbitrator Cited by Schwab and Interactive Brokers in HFT Customer Dispute (BrokeAndBroker.com Blog)Superintendent Adrienne A. [read post]
28 Nov 2019, 4:44 am
Appellate Court Sustains Criminal Conviction in Schwab Restraining Order Dispute (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/4945/kelly-schwab-impersonation/A California Superior Court jury found investment advisor Michael Patrick Kelly guilty of false personation of another, unauthorized use of personal identifying information, and disobeying a court order. [read post]
2 Oct 2019, 2:15 pm
NPR is reporting that TD Ameritrade's chief financial officer, said in a statement that the move to eliminate commissions will cost his company between $220 million and $240 million per quarter, or about 15% to 16% of revenues.Watch for SEC and FINRA reviews and investigations in to best execution and fair pricing to rise in the coming year.Related… [read post]
8 Feb 2018, 11:03 am
Many brokers at firms like Fidelity, Ameriprise and Charles Schwab targeted former employees and retirees of this company, in order to get them to invest in securities that may not have been suitable or appropriate for retirement accounts like a 401(k) or individual retirement account. [read post]
26 Sep 2011, 8:07 am
Yet the survey also found that 44% planned to increase their exchange traded funds investments. [read post]
16 Jul 2007, 12:47 pm
Trust before the pedigreed private bank was bought by Bank of America from Charles Schwab, a deal that closed earlier [...] [read post]
2 Oct 2008, 6:25 am
Complicating this decision is the fact that most of these financial advisers have signed a non-compete agreement with their employer.My advice to those investment professionals: Better consult with a knowledgeable attorney before you strike out on our own to open an independent financial investment business or join another company like Charles Schwab Corp., Fidelity Investments, Edward Jones, Morgan Stanley Dean Witter, and others. [read post]
