Schwab settles with SEC for $350,000
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SAN FRANCISCO (CBS.MW) -- Charles Schwab &amp; Co. agreed to pay $350,000 to settle Securities and Exchange Commission charges that the discount broker allowed customers to trade mutual funds after hours, the company said Tuesday.
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The Securities and Exchange Commission announced a &#36;140 million settlement Wednesday with a mutual fund adviser to the former FleetBoston Financial Corp. for improper trading, the same day the agency filed civil fraud charges against two former employees of the adviser.
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Charles Schwab (SCH), the biggest US discount brokerage, Monday said it will cut trading fees. Standard online commissions will go down to $19.
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Discount brokerage Charles Schwab Corp.  said on Monday it is undertaking a $3.5 billion capital restructuring program following completion of the sale of U.S. Trust Corp., sending its shares up more than 7 percent.
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Blog: IBM and SEC reach settlement in stock options expensing disclosure case. No fines or monetary penalties for company.
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Janus Capital Group Inc. said Wednesday it has finalized a &#36;226.2 million settlement with state and federal regulators over improper trading allegations, part of a scandal sweeping the &#36;7 trillion mutual funds industry.
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Analysts welcomed news reports that UBS  AG UBSN.VX was set to buy Charles Schwab's SCH.N  institutional research and trading unit for $265 million on  Monday, saying it would fortify the bank's market activities.
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Nashville-based Gambro Healthcare will pay $350 million to settle allegations of healthcare fraud, the US attorney&#39;s office in St.
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SWS Group Inc.'s SWS.N Southwest  Securities Inc. subsidiary agreed to pay $10 million to settle  charges that managers failed to supervise brokers who had  engaged in improper trading of mutual funds, the U.S.  Securities and Exchange Commission said on Monday.
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The Charles Schwab Corporation, the retail brokerage firm, said Wednesday that fourth-quarter profit fell 34 percent from the period a year ago, which included a tax gain and earnings from its U.S. Trust wealth management unit, which has since been sold.
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Invesco Funds Group and its sister company agreed Tuesday to pay $376.5 million and surrender another $75 million in fees to settle allegations of improper trading, a deal that will send nearly all the money to investors harmed by the practice.
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UBS AG  UBS Financial Services Inc has been censured and fined $370,000 in a settlement with the Financial Industry Regulatory Authority (FINRA) for making what the self-regulatory group said were hundreds of late disclosures about its brokers.
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UBS AG is expected to buy Charles Schwab Corp.'s institutional research and trading unit for &#36;265 million, the Wall Street Journal said Monday, citing unnamed people familiar with the matter.
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Brokerage Charles Schwab &amp; Co. has agreed to pay a &#36;350,000 civil fine to settle federal regulators' allegations that it illegally allowed certain customers to change mutual fund trade orders after the market's close.
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Discount stockbroker Charles Schwab  Corp  reported on Wednesday a 36 percent rise in  earnings from continuing operations as revenue increased  despite heightened market volatility and economic uncertainty.
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Brokerage Edward D. Jones &amp; Co. LP agreed to pay $75 million to settle allegations of improper disclosure of revenue-sharing payments it received from a group of mutual fund families it recommended to customers, US regulators said yesterday.
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Swiss banking giant UBS AG announced Tuesday that it is buying the capital markets division of discount brokerage Charles Schwab Corp. in a &#36;265 million bid to become one of the top traders on the NASDAQ exchange.