7 results

• Charles Schwab To Pay $119M For Misleading Investors

  January 13, 2011

  Staff Writers

  Charles Schwab Corp. has agreed to pay $119 million to settle a government criminal probe over misleading investors about their...

• Schwab YieldPlus Investors Have Another Chance to Opt-Out of Class Action

  December 10, 2010

  Staff Writers

  A $235 million dollar proposed settlement for the Schwab YieldPlus Fund class action lawsuit has been resurrected, after the investment...

• Schwab Backs Out of $235M YieldPlus Class Action Lawsuit Settlement

  November 16, 2010

  Staff Writers

  Charles Schwab has announced that it is backing out of a proposed $235 million settlement agreement previously reached in a...

• UBS Broker Arbitration Claim Over Lehman Notes Results in $529K Award

  November 9, 2010

  Staff Writers

  A FINRA arbitration panel has awarded $529,688 to a retired couple who pursued an investor claim against their UBS broker...

• Securities Fraud Case Filings Up 86% This Year

  May 5, 2009

  AboutLawsuits

  According to the latest statistics released by the Financial Industry Regulatory Authority (FINRA), which regulates all securities firms throughout the...

• Merrill Lynch Investor Arbitration Claim Results in $39.8 Million Award

  April 2, 2009

  AboutLawsuits

  An arbitration panel through the Financial Industry Regulatory Authority (FINRA) awarded an investor $30.6 million in compensatory damages and $9.2...

• Stock Broker Arbitration Claims Up 49% From 2007

  December 1, 2008

  AboutLawsuits

  According to the latest figures from the Financial Industry Regulatory Authority (FINRA), through October 2008, investment arbitration claims are up...