8 results

• SEC Warns of Charles Schwab Bond Fund Lawsuit Over Securities Violations

  October 19, 2009

  AboutLawsuits

  The U.S. Securities and Exchange Commission (SEC) has warned Charles Schwab Corp. that it could face a regulatory lawsuit over...

• Losses Awarded in Charles Schwab YieldPlus Arbitration Claim

  October 9, 2009

  AboutLawsuits

  An arbitration panel through the Financial Industry Regulatory Authority (FINRA) has ruled against Charles Schwab, ordering the firm to pay...

• Arbitration Claim Results in 100% Recovery of Schwab YieldPlus Losses

  September 22, 2009

  AboutLawsuits

  An arbitration panel through the Financial Industry Regulatory Authority (FINRA) has ruled in favor of a pair of investors who...

• Charles Schwab Lawsuit Filed by New York AG Over Auction Rate Securities

  August 18, 2009

  AboutLawsuits

  New York Attorney General Andrew Cuomo filed a lawsuit against Charles Schwab Corp. on Monday, accusing the brokerage firm of...

• Schwab YieldPlus Losses Caused by Violations of Prospectus: Report

  July 28, 2009

  AboutLawsuits

  A new research report cites a heavy reliance on private-label mortgages for the huge Charles Schwab Yield Plus losses suffered...

• 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...

• Schwab Yield Plus Arbitration Award Issued for $542,340

  October 14, 2008

  AboutLawsuits

  An investor who lost money in the Schwab YieldPlus fund was awarded $542,340 as part of an arbitration claim filed...

• Wachovia faces Class Action Lawsuit over Evergreen Ultra Short Opportunities Fund

  June 29, 2008

  AboutLawsuits

  A class action lawsuit has been filed in the U.S. District Court for the District of Massachusetts on behalf of...