Search for: "Schwab YieldPlus Fund"
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9 May 2014, 9:14 am
The YieldPlus fund sustained huge losses in 2008 and Schwab paid $235 million to resolve the allegations against the firm. [read post]
27 Mar 2013, 1:12 am
For example, March 2008, investors in the Charles Schwab YieldPlus Funds initiated a securities suit alleging violations of the federal securities laws and seeking damages; the defendants in that action included the funds’ trustees. [read post]
3 Mar 2013, 9:18 am
This decision came after settlements of class-action lawsuits in which Schwab agreed to pay $235 million for misleading marketing of its high-interest YieldPlus money market fund between May 2006 and March 2008. [read post]
23 Aug 2012, 9:50 pm
The Charles Schwab Corp. settled a similar case last year in which they paid almost $119 million over its YieldPlus bond fund. [read post]
19 Jul 2012, 6:45 am
The White Law Group continues to investigate potential FINRA arbitration claims involving Fidelity’s Ultra Short Bond Fund and Charles Schwab’s YieldPlus bond fund. [read post]
19 Jul 2012, 6:45 am
The White Law Group continues to investigate potential FINRA arbitration claims involving Fidelity’s Ultra Short Bond Fund and Charles Schwab’s YieldPlus bond fund. [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]
22 Nov 2011, 5:35 pm
The unlawful conduct related mostly to the Schwab YieldPlus Fund, the former flagship fixed-income mutual fund advised by Charles Schwab andamp; Co. [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]
30 Sep 2011, 5:00 am
The SEC’s allegations against Merk include that he made misleading statements about YieldPlus, voted to approve a plan that allowed YieldPlus to violate its concentration planning, made further misleading statements about YieldPlus in order to dissuade investors from redeeming their investments, and allowed certain Charles Schwab mutual funds to redeem their YieldPlus investments after obtaining material insider information regarding the… [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]
21 Mar 2011, 1:25 pm
This month, contact us. [read post]
16 Mar 2011, 3:21 pm
7 Mar 2011, 12:17 pm
The same is true in all other cases, including pending cases against the issuers and underwriters or FannieMae, FreddieMac, American Home Mortgage, and the countless issues of the preferred and debt securities of Wachovia, Merrill Lynch, Morgan Stanley, and others, including Charles Schwab (YieldPlus). [read post]
6 Feb 2011, 8:20 am
Recently the arbitration process at FINRA resolved a dispute alleging misdeeds by Schwab in the marketing of its YieldPlus short-term bond fund. [read post]
18 Jan 2011, 3:04 pm
16 Jan 2011, 11:14 am
Charles Schwab agreed to pay the SEC $118 million to settle securities and fraud charges arising from its sale of its “YieldPlus” branded funds. [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]
13 Jan 2011, 5:00 am
According to SEC charges, Charles Schwab failed to do this with its YieldPlus Fund in 2007. [read post]
12 Jan 2011, 2:30 pm
The brokerage--advised by Quinn Emanuel--was facing charges of misleading investors about the risks associated with its YieldPlus bond fund. [read post]
