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19 Nov 2007, 5:45 am
At approximately 5:30 PM on November 13, 2007, Brevard County Circuit Judge Charles Holcomb entered an order denying relief. [read post]
19 Nov 2007, 5:45 am
At approximately 5:30 PM on November 13, 2007, Brevard County Circuit Judge Charles Holcomb entered an order denying relief. [read post]
12 Nov 2010, 7:16 pm
A couple of cases have taken an unexpected turn. (1) Last April, Charles Schwab Corporation announced the preliminary settlement of the securities class action pending against the company in the N.D. of California. [read post]
21 May 2014, 4:55 am
The Colorado Presiding Disciplinary Judge approved a suspension of six months and fitness for the following On November 13, 2013, [attorney] Jay made a threatening the phone call to an Arizona Charles Schwab office because he was locked out of... [read post]
24 Nov 2010, 7:06 pm
Charles Schwab appears to have proven that adage correct in its settlement of the securities class action pending against the company in the N.D. of California.... [read post]
23 Nov 2007, 3:07 am
E*Trade Financial Corp is believed to be in merger talks with Charles Schwab Corp and TD Ameritrade Holding Corp, according to a report on Friday on business news channel CNBC. [read post]
1 May 2024, 11:11 am
Couple Sues Charles Schwab After Broker Purportedly “Chased Returns” That Led To Serious Life Savings Losses. [read post]
8 Nov 2007, 4:02 am
CHARLES M. [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 Dec 2009, 10:14 am
One of the leading private advocacy groups in the country is urging investors who lost money in the Charles Schwab YieldPlus funds to opt out of the class action lawsuit so they can file individual arbitration claims. [read post]
21 Sep 2007, 11:50 pm
Schwab in July 2007. [read post]
3 Oct 2016, 4:07 am
Judge Bill Singer, our blog's publisher, presents for your consideration a lawsuit by brokerage firm Charles Schwab & Co., Inc. against one of its public customers. [read post]
19 Mar 2021, 4:15 am
In a recent lawsuit against Schwab, a customer raises many of these issues.The Amended ComplaintRobert Wright filed a class action against Charles Sc... [read post]
25 Feb 2013, 3:16 pm
Charles Schwab & Company is a FINRA member. [read post]
26 Aug 2008, 5:42 pm
Cuomo has subpoenaed Charles Schwab, Fidelity, E*Trade Financial, TD Ameritrade, Oppenheimer & Co., and other ‘downstream' brokerages that sold the securities to clients even if they did not underwrite them. [read post]
25 May 2014, 3:04 am
Case In PointIn a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in September 2013, Claimant Charles Schwab & Co., Inc. sought an expungement of a FINRA arbitration case filed by Respondent Baggarly.In the Matter of the FINRA Arbitration Between Charles Schwab & Co., Inc. [read post]
21 Feb 2013, 5:00 pm
Charles Schwab & Co, an enforcement action in which FINRA alleged that Schwab’s class action and joinder waiver language in its customer agreement violated FINRA rules that preserved the judicial class action remedy for investors and empowered arbitrators to consolidate non-class though similar claims. [read post]
6 Mar 2013, 7:00 am
Consequently, the hearing panel allowed FINRA to impose sanctions on Charles Schwab based solely on that claim. [read post]
2 Oct 2019, 2:15 pm
Charles Schwab, TD Ameritrade and E-Trade have all announced zero commissions for stock and EFT trades.While commissions have been driven down dramatically over the years, it is difficult to believe that these online brokers are actually going to lose money every time a customer buys or sells a security. [read post]
7 May 2014, 7:01 am
From the Desk of Jim Eccleston at Eccleston Law Offices: Charles Schwab & Co. [read post]
