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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]
21 Jul 2009, 7:48 am
By inflating the YieldPlus fund's NAV, Schwab provided existing investors incorrect information about the value of their investments and caused new investors to overpay for shares in YieldPlus. [read post]
26 Jul 2022, 7:00 am
”), Charles Schwab Investment Advisory, Inc. [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]
4 Mar 2009, 3:52 pm
In addition, Schwab has recently announced that they will no longer allow self-directed IRA investors to invest in alternative investments such as hedge funds. [read post]
11 Nov 2019, 4:09 am
Another factor may be recent EU legislation known as PRIIPs, which requires all investment products sold to EU investors to be presented in an EU-prescribed format, which US investment products aren’t. [read post]
2 Feb 2012, 6:18 am
The Financial Industry Regulatory Authority has filed a complaint alleging that Charles Schwab & Company ("Schwab") violated FINRA rules by including a provision in its customer agreement requiring customers to waive their rights to participate in class actions against the firm. [read post]
18 Jun 2009, 2:15 pm
The Schwab YieldPlus Fund has lost approximately half its value as a result of undisclosed, high-risk non-conventional investments. [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 Apr 2010, 8:25 am
In re Charles Schwab Corp. [read post]
4 Jul 2022, 7:46 pm
As the SEC saw things, Schwab profited on its clients' cash holdings by arbitraging the difference between was was earned by Schwab lending out those balances and what Schwab paid to the clients; however, Schwab had not fully disclosed to its clients why SIP had allocated relatively high levels of cash rather than investing those amounts. [read post]
16 Jun 2008, 4:41 pm
 From last July 1 through April 30, investors lost about $1.3 billion, according to  Boston-based Financial Research Corp., which tracks investment flows for 35,000 funds. [read post]
27 Aug 2010, 5:34 am
Schwab Investments, No. 09-16347, 2010 WL 3169400 (9th Cir. [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]
14 Oct 2011, 10:23 am
It never is too early for investment advisers should plan their succession strategies. [read post]
27 Mar 2011, 4:02 pm
According to FINRA, while YieldPlus' NAV declined through 2007, Schwab internal records admitted that YieldPlus was a higher-risk investment than it had been before this change. [read post]
6 Apr 2010, 1:14 pm
The Plaintiff is the case claim that Schwab fund managers overloaded the fund with riskier investments in an effort to drive up yields and make the fund more attractive to potential investors. [read post]
24 Jan 2019, 1:16 pm
If you were an investor represented by former Schwab broker Payne, Royal Alliance investment adviser Steven Davis or former broker Gary Basralian, or any other financial adviser or broker that you believe may have been responsible for you sustaining unnecessary investment losses, contact SSEK Law Firm today. [read post]
13 Oct 2008, 10:22 pm
Page Perry's attorneys are actively involved in representing institutional and individual investors with investment problems. [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]
