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3 Feb 2012, 10:19 pm
Schwab claims that the FAA and the Supreme Court’s decisions in AT&T Mobility and CompuCredit trump FINRA’s rules. [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]
23 Apr 2009, 11:33 am
David S. [read post]
20 Oct 2009, 8:05 am
Page Perry's attorneys are actively involved in representing institutional and individual investors with investment problems. [read post]
13 Oct 2009, 2:38 pm
Investors in Charles Schwab's YieldPlus Fund have important decisions to make. [read post]
24 May 2012, 9:06 am
Earlier this year, I blogged about the spat between FINRA and Charles Schwab over Schwab’s class action waiver in its customer agreement’s arbitration provision. [read post]
23 Feb 2012, 11:02 am
We previously blogged that Charles Schwab has filed a declaratory judgment action against FINRA, in response to FINRA's institution of a disciplinary proceeding against the firm for requiring its customers to accept a class action waiver in its customers' agreements.... [read post]
19 Nov 2007, 5:59 am
For the reasons set out below, Schwab's motion should be denied: 1. [read post]
19 Nov 2007, 5:59 am
For the reasons set out below, Schwab's motion should be denied: 1. [read post]
21 Sep 2007, 11:50 pm
Schwab in July 2007. [read post]
2 Apr 2012, 6:31 am
OFR also concluded that Schwab's supervisory procedures were lacking. [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]
15 Oct 2009, 4:31 pm
Charles Schwab Corp. has received a Wells notice from the Securities and Exchange Commission about possible civil charges related to the discount brokerage's Schwab Total Bond Market Fund and Schwab YieldPlus Fund. [read post]
19 Nov 2007, 5:45 am
This Court denied Schwab's motion for rehearing on November 7, 2007. [read post]
19 Nov 2007, 5:45 am
This Court denied Schwab's motion for rehearing on November 7, 2007. [read post]
14 Sep 2004, 10:02 am
In Tuesday's corporations and securities law news, Charles Schwab Corp. has agreed to pay a fine of $350,000 to the SEC relating to the processing of mutual fund orders after the 4 PM ET market close. [read post]
14 Nov 2007, 5:12 am
The State files opposition to motion for stay in federal court in Schwab[www.oranous.com] [read post]
26 Aug 2009, 9:05 am
Schwab has posted on Schwab's website a Dear Investor, which begins: "I made a commitment. [read post]
10 Sep 2009, 12:32 pm
"We continue to receive inquiries from investors who acquired the YieldPlus Fund as a result of Schwab's misrepresentation of it as a suitable alternative to a money market fund," said J. [read post]
1 May 2013, 5:24 pm
Schwab’s 125-page complaint essentially alleges that the Libor rate-setting banks manipulated the Libor benchmark rate, which cost Schwab and its various funds millions of dollars of interest income. [read post]
