Search for: "Schwab YieldPlus Fund"
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10 Sep 2009, 12:32 pm
"Although Charles Schwab represented the Schwab YieldPlus Fund Select Shares (SWYSX) and the Schwab YieldPlus Investor Shares (SWYPX) (the "YieldPlus Funds") as safe conservative cash alternatives to investors, the evidence established that the YieldPlus funds were over concentrated in toxic mortgage backed securities," said attorney Tom Hargett who represented the Kellys. [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]
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]
14 Oct 2008, 4:15 pm
Nielson also claims he was never informed that the Schwab YieldPlus Fund was a proprietary fund. [read post]
6 Apr 2010, 1:14 pm
The lawsuit claimed that Schwab decreed in 2001 that YieldPlus would hold a maximum of 25 percent of private-label mortgage-backed securities, but in 2006 changed its Statement of Additional Information to allow the fund managers to abrogate that requirement without obtaining shareholder approval. [read post]
20 May 2010, 9:59 am
Recently, a California federal district court judge granted a summary judgment motion filed by plaintiffs in class action litigation relating to the Schwab YieldPlus mutual 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]
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]
13 Oct 2009, 4:04 pm
Allegations regarding the Schwab YieldPlus funds include that investors were deceived about the inherent risk in the funds, which were packaged and sold as cash alternatives. [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]
11 Jan 2011, 4:40 pm
Regulators accused the company of misleading investors in its YieldPlus bond fund, which contained risky mortgage-backed securities. [read post]
28 Apr 2010, 12:49 pm
YieldPlus investors shareholders suffered millions of dollars in losses when the fund invested much of its assets in mortgage-backed securities that were not insured. [read post]
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]
21 Dec 2009, 10:14 am
Investors that may qualify as class members acquired Schwab YieldPlus Fund shares between May 31, 2006 and March 17, 2008. [read post]
1 Jul 2008, 3:49 pm
The claims cite numerous omissions and misrepresentations in mutual funds that the brokerage firm had underwritten, including those involving Schwab YieldPlus Funds Investor Shares (SWYPX) and the Schwab YieldPlus Fund Select Shares (SWYSX). [read post]
21 Apr 2010, 2:06 am
As reflected in the plaintiffs’ second amended complaint, the plaintiffs alleged that Schwab and related entities, as well as certain Schwab directors and officers, violated federal and state securities laws and other state laws in representations made about Schwab’s YieldPlus Fund, a short-term fixed income mutual fund. [read post]
6 Oct 2009, 10:18 am
Charles Schwab has been trying most of the many arbitration cases filed against it related to the Charles Schwab HighYield Plus fund. [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]
12 Aug 2008, 11:58 pm
In addition to the Legg Mason Value Fund (symbol LMVTX) and Schwab YieldPlus Fund (symbol SWYPX) and the Regions Morgan Keegan funds, which are the subject of stories we have reported recently, several other hard-hit mutual funds are discussed. [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]
