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17 Aug 2009, 9:33 am
New York Attorney General Andrew Cuomo filed a lawsuit today against The Charles Schwab Corp., claiming the brokerage firm misled customers about the safety of auction rate securities â€â [read post]
28 Jan 2021, 11:56 am
Ameritrade, Charles Schwab, and Other Brokerage Firms for Market Manipulation appeared first on Securities Arbitration Lawyer Blog. [read post]
16 Jun 2008, 4:41 pm
Charles Schwab may pay about $260 million to win public-relations points by settling investors' claims over losses in a bond fund with subprime holdings. [read post]
2 Nov 2009, 2:15 pm
On October 14, 2009, Charles Schwab was notified that the SEC staff intends to recommend the filing of a civil enforcement action against Schwab Investments, Charles Schwab Investment Management, Charles Schwab & Co., Inc. and the president of the funds for possible violations of the securities laws with respect to the Schwab YieldPlus Fund. [read post]
13 Jun 2022, 6:05 am
The Securities and Exchange Commission today charged three Charles Schwab investment adviser subsidiaries for not disclosing that they were allocating client funds in a manner that their own internal analyses showed would be less profitable for their…Read the Full Press ReleaseHave a securities law question? [read post]
24 May 2013, 6:44 am
Seemingly bucking the trend of corporations fighting to force consumers into individual arbitration to avoid class actions, Charles Schwab Corp., the prominent “discount broker,” has decided to revise its client account agreements to eliminate a provision that had reliably allowed Schwab to prevent clients from filing class actions against it, by requiring clients to take any disputes to individual arbitration. [read post]
15 Oct 2009, 1:35 pm
Charles Schwab said it received a Wells notice from the SEC about two bond funds that are the subject of a class action suit and numerous arbitrations. [read post]
22 Mar 2010, 8:28 am
According to InvestmentNews, a FINRA arbitration panel last month ordered Charles Schwab to pay a former employee $1.8 million in back pay and punitive damages. [read post]
5 Nov 2015, 2:10 pm
Circuit Court of Appeals, Northstar was given the right to sue Charles Schwab for breach of contract. [read post]
14 Oct 2009, 11:13 am
The Charles Schwab YieldPlus Fund class action suit has generated some serious questions for investors to consider. [read post]
29 Aug 2011, 9:01 am
According to On Wall Street, Charles Schwab has long said that it doesn’t solicit the investor clients of the financial advisors who custody assets with the firm. [read post]
14 Feb 2016, 3:00 am
New York Times, Walt Bettinger of Charles Schwab: You’ve Got to Open Up to Move Up: How have your parents shaped your leadership style? [read post]
13 Oct 2008, 10:22 pm
An arbitration panel in Minnesota has ordered Charles Schwab to pay $542,340 to an investor in the Schwab YieldPlus Fund. [read post]
5 Jun 2023, 8:05 pm
Morgan Stanley told a court on Friday it will shell out a combined total of almost $13 million to Charles Schwab & Co. and two of its former brokers based on an arbitration award last month in a high-profile non-solicitation and defamation case. [read post]
16 Oct 2009, 7:43 am
Charles Schwab acknowledged that the SEC served it with a Wells Notice related to its sale of two funds, the YieldPlus Fund and Total Bond Market Fund. [read post]
7 May 2010, 5:00 am
On April 20, 2010, in one of the largest settlements in a securities case in the northern district of California, Charles Schwab Corp. [read post]
9 May 2013, 11:25 am
Several amicus briefs have been filed in the appeal of FINRA's disciplinary proceeding against Charles Schwab for including in its customer agreement a class action waiver, contrary to FINRA rules. [read post]
17 May 2013, 6:09 am
As regular readers of this Blog know, Charles Schwab includes in its brokerage agreements with its customer a provision that purports to prohibit customers from bringing class actions against the firm. [read post]
2 Feb 2012, 12:32 pm
Yesterday I reported on FINRA’s enforcement action against Charles Schwab for inserting a class action waiver in its customer PDAAs. [read post]
14 Apr 2010, 8:25 am
In re Charles Schwab Corp. [read post]
