Search for: "Charles Schwab "
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14 Mar 2013, 12:10 pm
In a new case filed by Charles Schwab & Co. [read post]
30 Sep 2011, 7:19 am
Charles Schwab has an opinion piece in the Wall Street Journal on his views on what will and won't work to create jobs. [read post]
15 Feb 2010, 9:29 am
Charles Schwab Corp. added a record number of independent investment advisors in 2009 as thousands of brokers left Wall Street firms, like Bank of America, Merrill Lynch, and Morgan Stanley Smith Barney, to launch their own investment advisory firms. [read post]
14 Feb 2019, 1:50 am
In today's featured FINRA arbitration, we have Charles Schwab winning its case against two public customers. [read post]
10 Sep 2009, 12:32 pm
A Nevada based Financial Industry Regulatory Authority (FINRA) arbitration panel awarded damages to a Nevada couple as a result of losses sustained in the Charles Schwab YieldPlus Fund. [read post]
17 Aug 2009, 7:31 am
Andrew Cuomo, the AG of New York, told Charles Schwab Corp. last month to agree to a settlement in which the brokerage firm would buy back auction-rate securities from investors who wound up stuck with them when the market froze. [read post]
20 Oct 2009, 8:05 am
Securities and Exchange Commission that the 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 and the Schwab Total Bond Market Fund. [read post]
16 Sep 2009, 7:43 am
A Los Angeles based Financial Industry Regulatory Authority (FINRA) arbitration panel awarded market adjusted damages to a California resident as a result of losses sustained in the Charles Schwab YieldPlus Fund. [read post]
8 Feb 2012, 3:45 pm
The Financial Industry Regulatory Authority has filed a complaint against Charles Schwab Corp. [read post]
14 May 2012, 12:57 pm
Regular readers of this blog will recall that Charles Schwab and FINRA are involved in a dispute over the SRO's rules that prohibit broker-dealers from requiring customers to give up their rights to bring class actions in court. [read post]
25 Nov 2019, 1:26 pm
NEW YORK — Charles Schwab is buying rival TD Ameritrade in a $26 billion stock swap, a blockbuster agreement brought about by massive disruption in the online brokerage industry. [read post]
3 Feb 2012, 5:54 am
In a blog yesterday, I reported that Charles Schwab has filed a declaratory judgment action against FINRA in federal district court in Northern California in response to FINRA's institution of a disciplinary action against the firm. [read post]
23 Apr 2009, 11:33 am
Pottruck, the former chief executive of Charles Schwab, is close to joining Exigen Capital, a small technology-focused private equity firm, according to a person briefed on the situation. [read post]
17 Aug 2009, 3:53 pm
See related blog posting: San Francisco's Charles Schwab Corp. [read post]
1 Feb 2012, 2:46 pm
In a very interesting development with implications for the fate of class action waivers in the securities dispute context, FINRA Enforcement filed a complaint today against broker-dealer and FINRA member Charles Schwab for including a class action waiver in its customer agreement. [read post]
30 Sep 2021, 5:08 am
The cash was allegedly deposited into Charles Schwab Bank through a cash sweep program. [read post]
8 Apr 2010, 5:45 pm
[Dan Levine]Seems like Northern District Judge William Alsup is intrigued by a securities class action against Charles Schwab — even if his rulings are coming at the expense of his old law firm. [read post]
16 May 2012, 3:28 pm
A federal judge has thrown out a lawsuit filed by Charles Schwab Corp. [read post]
12 Nov 2010, 12:51 pm
The Charles Schwab Corp. filed a notice of withdrawal from a settlement that it had negotiated to end a class action regarding the mismarketing of its YieldPlus Fund, according to a Law360 article by Pete Brush. [read post]
1 Nov 2011, 1:51 pm
On Oct. 24, 2011, a New York State Supreme Court (County of New York) Justice dismissed the New York Attorney General's complaint against Charles Schwab & Co. involving the firm's sale of auction rate securities (ARS). [read post]
