Search for: "Schwab YieldPlus Fund"
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21 Jul 2009, 7:48 am
("SLCG") this morning released "Schwab YieldPlus Risk", a research report on the Schwab YieldPlus (SWYSX and SWYPX) ultra short bond fund. [read post]
21 Nov 2011, 1:25 pm
The SEC announced that Randall Merk settled SEC charges related to the Schwab YieldPlus Fund. [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]
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]
10 Sep 2009, 1:33 pm
Specifically, the Kellys' arbitration claim (FINRA Case No. 08-02307) alleged that Charles Schwab marketed and sold the Schwab YieldPlus Funds as a conservative investment alternative to money market funds. [read post]
23 Nov 2011, 6:04 am
The complaint also claims that Merk approved other Schwab funds' redemptions of their YieldPlus holdings when Merk knew, or should have known, that the portfolio managers for those funds had received material, non-public information about the YieldPlus Fund. [read post]
28 Apr 2008, 10:23 am
Charles Schwab's YieldPlus mutual funds are in the news again. [read post]
11 Jan 2011, 10:36 am
(CS&Co.) with making misleading statements regarding the Schwab YieldPlus Fund and failing to establish, maintain and enforce policies and procedures to prevent the misuse of material,... [read post]
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, 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]
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]
15 Oct 2009, 9:46 am
More Information: Schwab YieldPlus Fund Charles Schwab & Co. [read post]
20 Oct 2009, 8:05 am
The threatened SEC enforcement action against The Charles Schwab Corp. relating to sales of its YieldPlus Fund increases the likelihood that Schwab will need to settle a class action and FINRA arbitrations involving the YieldPlus Fund, according to industry analysts, as reported by Bruce Kelly on October 18 in InvestmentNews. [read post]
22 May 2008, 8:25 am
SNSFE is issuing a warning to investors to beware of a pending class action concerning Schwab YieldPlus Fund Select Shares and the Schwab YieldPlus Investor Shares. [read post]
2 Nov 2009, 2:15 pm
Investors in Charles Schwab's YieldPlus Fund need to be aware of their options in light of the recent certification of a class action brought by YieldPlus investors against Schwab. [read post]
13 Oct 2009, 2:38 pm
Investors in Charles Schwab's YieldPlus Fund have important decisions to make. [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]
27 Mar 2011, 4:02 pm
The Financial Industry Regulatory Authority ("FINRA") determined that Schwab misrepresented the YieldPlus fund as a low risk alternative to money market funds despite the disproportionate impact the upheaval in the mortgage-backed securities market had on the YieldPlus portfolio. [read post]
24 Mar 2010, 8:55 pm
Related Web Resources: Schwab Seeks to Fend Off SEC Lawsuit Over YieldPlus, Bloomberg/Business Week, March 23, 2010 The Charles Schwab Corporation : Schwab YieldPlus Funds Investor Shares or Schwab YieldPlus Funds Select Shares, Securities.Stanford.Edu Securities and Exchange Commission [read post]
15 Apr 2008, 9:14 am
A class action law suit has been filed on behalf of those who bought Schwab YieldPlus Investor Funds Investor Shares and Schwab YieldPlus Funds Select Shares against the Schwab Corporation, the underwriter and investment adviser connected to the funds, and several Schwab officers and directors. [read post]
