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25 Feb 2013, 2:05 am
FULL TEXT FINRA Decision On Charles Schwab Arbitration AgreementWith Analysis By Bill SingerAround October 1, 2011, Charles Schwab & Co. amended its Customer Account Agreement to include this waiver:Waiver of Class Action or Representative ActionNeither you nor Schwab shall be entitled to arbitrate any claims as a class action or representative action, and the arbitrator(s) shall have no authority to consolidate more than one parties’ [sic]… [read post]
26 Aug 2009, 9:05 am
Will the real Charles Schwab please stand up? [read post]
2 Apr 2012, 6:31 am
In a Final Order dated March 26, 2012, the Florida Office of Financial Regulation ("OFR") fined Charles Schwab & Co., Inc. [read post]
13 Oct 2009, 2:38 pm
Investors in Charles Schwab's YieldPlus Fund have important decisions to make. [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]
22 May 2008, 8:25 am
 SNSFE is investigating those funds and the  investigation centers on the allegations that Charles Schwab omitted or misrepresented important information to investors -- including the YieldPlus funds' safety, composition and risk level. [read post]
10 Sep 2019, 10:19 am
The Charles Schwab Corp. et al case that Schwab could enforce its retirement plan’s arbitration clause requiring participants to file individual claims and to waive class-action claims. [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]
30 Oct 2023, 6:17 am
Ya got layoffs at Charles Schwab. [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]
24 May 2012, 9:06 am
See Charles Schwab & Co., Inc. v. [read post]
30 Jul 2012, 1:25 pm
The brokerage firm Charles Schwab & Co. had sought a declaratory judgment to the effect that the Financial Industry Regulatory Authority (FINRA) could not prevent Schwab from adding a class action waiver to its customer account agreements. [read post]
9 Mar 2015, 11:45 am
"Charles Schwab must face U.S. lawsuit over bond index fund": Jonathan Stempel of Reuters has this report on a ruling that a divided three-judge panel of the U.S. [read post]
28 Apr 2010, 12:49 pm
While the case is venued in the Northern District of California, In Re Charles Schwab Corp. [read post]
17 Nov 2009, 2:14 pm
A federal court recently certified a class action against Charles Schwab & Company, Inc. brought on behalf of investors in the Schwab YieldPlus Fund. [read post]
14 Apr 2021, 7:03 am
Misery loves company, but is Schwab really all that miserable? [read post]
18 Jun 2009, 2:15 pm
It now appears that Charles Schwab & Co. engaged in similar acts. [read post]
16 Jan 2011, 11:14 am
Charles Schwab agreed to pay the SEC $118 million to settle securities and fraud charges arising from its sale of its “YieldPlus” branded funds. [read post]
22 Nov 2011, 5:35 pm
Randall Merk, a former executive for Charles Schwab andamp; Co. [read post]
4 Jul 2022, 7:46 pm
Charles Schwab SIP Robo-Adviser Cited In FINRA Arbitration (BrokeAndBroker.com Blog)Charles Schwab SIP Robo-Adviser Cited In FINRA Arbitration (BrokeAndBroker.com Blog)https://www.brokeandbroker.com/6540/schwab-sip-finra/On June 13, 2022, the SEC ordered Charles Schwab & Co. to pay $52 million in disgorgement and prejudgment interest, and a $135 million civil penalty. [read post]
