Search for: "Charles Schwab "
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28 Feb 2011, 2:43 pm
On February 11, FINRA notified Charles Schwab that it has decided not to bring a disciplinary action against it related to sales of auction rate securities. [read post]
15 Oct 2009, 2:56 pm
The San Francisco-based brokerage acknowledged earlier this week that it had received the SEC's Well Notice, which outlined possible civil enforcement actions against Schwab Investments, Charles Schwab Investment Management, Charles Schwab & Co., Inc. and the president of the YieldPlus funds for alleged violations of securities laws in connection to the two fixed-income mutual funds. [read post]
21 Jul 2009, 12:30 pm
So far, Charles Schwab has denied the attorney general's allegations. [read post]
13 Jun 2023, 11:42 am
The Financial Industry Regulatory Authority Inc. last week fined Charles Schwab & Co. [read post]
14 Sep 2004, 10:02 am
Read the Charles Schwab press release announcing the deal here. [read post]
23 Aug 2012, 9:50 pm
The Charles Schwab Corp. settled a similar case last year in which they paid almost $119 million over its YieldPlus bond fund. [read post]
28 Apr 2008, 10:23 am
Charles Schwab's YieldPlus mutual funds are in the news again. [read post]
14 Nov 2014, 12:01 pm
Ivan Sanabria and Gary Husel are former employees of Charles Schwab. [read post]
28 Feb 2012, 10:43 am
" On the same day that FINRA instituted the disciplinary proceeding, Schwab filed a lawsuit, Charles Schwab v. [read post]
1 Jul 2008, 3:49 pm
Related Web Resources: Shepherd Smith Edwards & Kantas LLP Files $700,000 Arbitration Claim Regarding Schwab California Tax-Free YieldPlus Fund, Primenewswire.com, June 24, 2008 Charles Schwab & Co. [read post]
7 May 2012, 3:36 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]
24 Mar 2010, 8:55 pm
Charles Schwab Corp. doesn’t want the Securities and Exchange Commission to file securities claims over the YieldPlus mutual fund. [read post]
21 Nov 2019, 1:23 pm
First, Charles Schwab Corp. upended the retail brokerage business by cutting commissions to zero. [read post]
6 Jun 2023, 6:24 am
Charles Schwab & Co. successfully petitioned the Southern District of New York for confirmation of a FINRA arbitration award against one of its account holders, fending off challenges predicated on Schwab’s alleged discovery abuses in the process. [read post]
4 Jul 2022, 7:46 pm
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]
9 May 2014, 9:14 am
Board Decision Finds Charles Schwab & Co. [read post]
13 Apr 2010, 7:37 am
In re Charles Schwab Corp. [read post]
23 Feb 2012, 11:02 am
We previously blogged that Charles Schwab has filed a declaratory judgment action against FINRA, in response to FINRA's institution of a disciplinary proceeding against the firm for requiring its customers to accept a class action waiver in its customers' agreements.... [read post]
8 Jun 2023, 2:26 pm
A three-person arbitration panel in New York has ordered Charles Schwab and RIA Pinnacle Associates to pay a retiree more than $800,000 over an Apple [...] [read post]
15 Oct 2009, 4:31 pm
Our securities fraud lawyers represent investors with FINRA arbitration claims against Charles Schwab. [read post]
