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11 Jan 2011, 10:44 am
FINRA announced that it has ordered Charles Schwab & Company, Inc., to pay $18 million into a Fair Fund to be established by the Securities and Exchange Commission (SEC) to repay investors in YieldPlus, an ultra short-term bond fund managed... [read post]
11 Jan 2011, 1:25 pm
The Securities and Exchange Commission is starting the year with a bang, announcing a $119 million settlement with the Charles Schwab Corp. for misleading investors and failing to prevent the misuse of nonpublic information. [read post]
21 Nov 2011, 1:25 pm
Merk was an Executive Vice President at Charles Schwab & Co., Inc., President of Charles Schwab Investment Management, and a Trustee of the Schwab YieldPlus... [read post]
10 Dec 2019, 6:46 am
Barron’s reports Charles Schwab “notched a big court victory in a case that may reverberate through the retirement-plan industry. [read post]
14 Jan 2011, 8:55 am
The SEC recently announced that it had settled with Charles Schwab Investment Management and Charles Schwab & Co., Inc. with making misleading statements regarding the Charles Schwab YieldPlus Fund and for failing to establish proper policies to prevent the misuse of material, non-public information. [read post]
15 Oct 2009, 8:52 am
In an 8-K filed today, Charles Schwab Corp. disclosed that it has received a Wells Notice from the SEC. [read post]
26 Feb 2013, 2:14 pm
This article was originally posted on Stock Market LossYesterday, we discussed an anti-investor ruling that permits Charles Schwab & Company to force its customers to waive their right to participate in class actions against Schwab. [read post]
6 Apr 2010, 1:14 pm
District Court Judge William Alsup ruled that Charles Schwab Corp. did in fact violate the law when it loaded its YeildPlus Mutual Fund with high risk mortgage-related structured debt with first gaining approval by shareholders. [read post]
6 Oct 2009, 10:18 am
Charles Schwab has been trying most of the many arbitration cases filed against it related to the Charles Schwab HighYield Plus fund. [read post]
10 Aug 2022, 6:45 pm
(Charles Schwab). [read post]
15 Oct 2009, 9:46 am
More Information: Schwab YieldPlus Fund Charles Schwab & Co. [read post]
27 Mar 2011, 4:02 pm
Earlier this year the regulatory agency that oversees brokerage firms ordered Charles Schwab to reimburse investors in its YieldPlus ultra short-term bond fund a total of $18 million through a fund to be set up by the Securities and Exchange Commission ("SEC"). [read post]
12 Apr 2010, 3:36 am
Charles Schwab Corp. continues its fight with New York Attorney General Andrew Cuomo over its sales of auction-rate securities to investors.Cuomo claims that Schwab sold the securities fraudulently. [read post]
3 Feb 2012, 5:52 pm
Charles Schwab andamp; Co. violated regulatory rules by requiring customers to sign a contract with a provision waiving their rights to bring class actions against the firm, according to a complaint filed by the Financial Industry Regulatory Authority (FINRA) on Feb. 1 Schwab is one of the nationandrsquo;s largest discount brokerage firms, with more than 340 offices nationwide that together employ about 7,000 brokers. [read post]
17 Aug 2009, 11:02 am
Our colleagues at The Am Law Litigation Daily caught up with the Quinn Emanuel partner defending Charles Schwab against allegations that it manipulated the auction-rate securities market. [read post]
4 Jun 2023, 4:27 am
The post Morgan Stanley, Charles Schwab, and the Recruiting Move That Went Off the Rails appeared first on Stoltmann Law. [read post]
17 Aug 2009, 1:09 pm
Cuomo today filed a lawsuit against Charles Schwab & Co. [read post]
23 Nov 2011, 6:04 am
Securities and Exchange Commission (SEC) announced that Randall Merk (Merk), former Executive Vice President of Charles Schwab & Co., Inc. and President of Charles Schwab Investment Management, has agreed to pay a $150,000 fine to settle charges brought against him in connection with Schwab's YieldPlus Fund. [read post]
1 Feb 2012, 1:43 pm
Will Charles Schwab get away with including a class action waiver in its customer agreements? [read post]
17 Nov 2010, 6:01 pm
The S.E.C. is examining whether Charles Schwab misled its clients about a fund that was supposed to be safe, but was packed with subprime investments. [read post]
