Search for: "Schwab Investments"
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17 Nov 2009, 2:14 pm
The SEC staff recently notified Schwab that it 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]
1 Mar 2013, 9:11 am
(Keep in mind that Schwab was caught once before and paid over $200 million to settle a class action lawsuit alleging it marketed risky securities as conservative investments.) [read post]
13 Oct 2009, 4:04 pm
Investors who invested into YieldPlus Funds issued by the Charles Schwab Corp. must take immediate action to avoid being limited in recovery to the amount obtained through a class action suit. [read post]
1 Jul 2008, 3:49 pm
They say that rather than diversify the investments, the brokerage firm over-concentrated them in securities tied to the mortgage industry. [read post]
1 May 2013, 5:24 pm
The complaint alleges that the various Schwab entities invested billions of dollars based on alleged representations about the integrity of the benchmark rate-setting process. [read post]
16 Oct 2009, 7:43 am
The YieldPlus family of funds were short-term bond funds that the firm marketed as conservative investments. [read post]
17 May 2013, 4:49 am
Responding to substantial pressure from regulators and the investing public, the brokerage firm Charles Schwab reversed itself and eliminated the class action waiver clause from its pre-dispute arbitration clause in its customer account agreements. [read post]
16 Dec 2009, 8:35 am
The SEC staff recently notified Schwab that it 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]
16 Sep 2009, 7:43 am
Market-adjusted damages compensate for the difference between the higher amount the claimant would have received had his money been invested appropriately, less the amount he actually received. [read post]
6 Feb 2011, 8:20 am
If your investment advisor or South Florida Stock Broker had you money invested in this vehicle (The Schwab YieldPlus Bond Fund) contact a South Florida Securities Fraud attorney and ask about your possible recovery in the Fair Fund award. [read post]
16 Jan 2011, 11:14 am
Lesson to be learned: review your investments on an ongoing basis. [read post]
1 Oct 2009, 11:01 am
"We continue to receive inquiries from investors who acquired the YieldPlus Fund as a result of Schwab's misrepresentation of it as a low risk cash alternative investment," said J. [read post]
29 Jan 2020, 12:15 pm
Many firms, such as TD Ameritrade, Charles Schwab and Fidelity, whose business model includes or is tailored primarily to investors who want the benefits of a self-directed account also offer to introduce investors who wish independent investment advice to professional investment advisors who are technically “unaffiliated” with the firm. [read post]
10 Sep 2009, 7:58 am
A California federal court has issued an order allowing a Schwab YieldPlus Fund lawsuit filed against Charles Schwab to proceed as class action. [read post]
9 Nov 2009, 8:31 am
The SEC staff recently notified Schwab that it 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]
9 Jul 2018, 7:39 am
SEC Charges Charles Schwab with Failing to Report Suspicious Transactions (SEC Litigation Release No. 24189)https://www.sec.gov/litigation/litreleases/2018/lr24189.htmIn a Complaint filed in the United States District Court for the Northern District of California, the SEC alleged that Charles Schwab & Co., Inc. he SEC's complaint charges Schwab with failing to file Suspicious Activity Reports (SARs) on the suspicious transactions of 83 independent… [read post]
17 Aug 2009, 3:53 pm
According to the complaint filed by the Attorney General, Schwab misrepresented auction rate securities as suitable for customers seeking a safe and liquid investment. [read post]
1 Mar 2013, 4:11 am
(Keep in mind that Schwab was caught once before and paid over $200 million to settle a class action lawsuit alleging it marketed risky securities as conservative investments.) [read post]
1 Mar 2013, 4:11 am
(Keep in mind that Schwab was caught once before and paid over $200 million to settle a class action lawsuit alleging it marketed risky securities as conservative investments.) [read post]
17 May 2010, 8:59 am
This information comes from Charles Schwab Advisor Services, the custody unit of Charles Schwab & Co. [read post]
