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10 Sep 2009, 1:33 pm
A Financial Industry Regulatory Authority (FINRA) arbitration panel in Reno, Nevada, has ruled in favor of investors and their claim against Charles Schwab (SCHW) for financial losses suffered in the Charles Schwab YieldPlus Funds. [read post]
10 Nov 2010, 12:17 pm
On November 8 Charles Schwab announced that it was invoking the termination clauses in settlement agreements in a consolidated class action lawsuit relating to the Schwab YieldPlus Fund®. [read post]
20 Apr 2010, 9:46 am
Without admitting liability, Charles Schwab has agreed to pay the plaintiffs $200 million in order to avoid trial which had been scheduled for May. [read post]
20 Apr 2010, 8:46 am
Without admitting liability, Charles Schwab has agreed to pay the plaintiffs $200 million in order to avoid trial which had been scheduled for May. [read post]
7 Jun 2023, 11:57 am
The post Charles Schwab and Pinnacle Lose Options Strategy Arbitration Case appeared first on Stoltmann Law. [read post]
11 Nov 2019, 4:09 am
It’s actually not the first time that Charles Schwab has closed its UK operations, which used to be more extensive in fact, with several Charles Schwab UK offices operating before 2003. [read post]
19 Jul 2021, 3:32 am
Continue Reading › The post SSEK Investigates Claims That Charles Schwab Recommended Advisory Firms Market Vida Longevity Fund To Customers appeared first on Investor Lawyers Blog. [read post]
11 Jan 2011, 10:36 am
The SEC charged Charles Schwab Investment Management (CSIM) and Charles Schwab & Co., Inc. [read post]
11 Jan 2011, 8:44 pm
Today, Charles Schwab & Co. and Charles Schwab Investment Management agreed to settle securities fraud charges filed by the Securities & Exchange Commission (SEC) stemming from the YieldPlus fund. [read post]
13 Jun 2022, 6:56 am
” Without admitting or denying the SEC’s findings, Schwab’s investment adviser subsidiaries, Charles Schwab & Co., Inc., Charles Schwab Investment Advisory, Inc., and Schwab Wealth Investment Advisory, Inc., agreed to a cease-and-desist order prohibiting them from violating the antifraud provisions of the Investment Advisers Act of 1940, censuring them, and requiring them to pay approximately $52 million in disgorgement… [read post]
11 May 2012, 2:57 pm
This high-profile development was part of the settlement of a claim by Kit Lau, a Charles Schwab customer for more than 25 years. [read post]
25 Aug 2011, 2:47 pm
The brokerage firm Charles Schwab has sued 11 major banks, claiming they conspired to manipulate a borrowing benchmark used to set interest rates. [read post]
12 May 2014, 8:28 pm
On April 24, 2014, Charles Schwab & Co., the financial services brokerage firm, agreed to pay $500,000 in fines and acknowledged a ruling by the Financial Industry Regulatory Authority (“FINRA”) Board of Governors, which concluded that Charles Schwab had violated FINRA rules by including a class action waiver clause in its customer agreement. [read post]
5 Dec 2019, 9:01 pm
Another subsidiary, Charles Schwab Investment Management, Inc. [read post]
2 Feb 2012, 6:18 am
The Financial Industry Regulatory Authority has filed a complaint alleging that Charles Schwab & Company ("Schwab") violated FINRA rules by including a provision in its customer agreement requiring customers to waive their rights to participate in class actions against the firm. [read post]
9 Nov 2010, 8:24 am
The San Francisco Chronicle reported today that Charles Schwab plans to terminate their agreement to settle a class action lawsuit filed on behalf of shareholders in Schwab's YieldPlus fund--an ultra-short-term-bond fund. [read post]
20 Oct 2009, 5:43 am
Yield Plus and the words, Charles Schwab lawsuit, are becoming one and the same these days. [read post]
11 Jan 2011, 7:58 pm
On January 11, 2011, the Securities and Exchange Commission sued Charles Schwab Investment Management and Charles Schwab & Co., Inc. over alleged misleading statements regarding the Schwab YieldPlus Fund and failing to establish, maintain and enforce policies and procedures to prevent the misuse of material, nonpublic information. [read post]
26 Feb 2013, 3:18 pm
As readers of this blog know, last week a FINRA hearing officer refused to enforce FINRA's rules prohibiting broker-dealers from including class action waivers in their customers' agreements, in a big win for Charles Schwab. [read post]
19 Mar 2013, 9:51 am
Jill Gross and I critique the FINRA hearing panel's recent decision in a disciplinary proceeding against Charles Schwab, holding that FINRA's arbitration rule prohibiting class action waivers was unenforceable, at the CLS Blue Sky Blog. [read post]
