Charles Schwab Corp. to Pay $350,000 Fine
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Charles Schwab Corp. (SCH.N: Quote, Profile, Research) on Tuesday said it had agreed to pay a fine of $350,000 to settle SEC enforcement proceedings related to the processing of mutual fund orders.
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Brokerage giant Charles Schwab Corp. agreed yesterday to pay $350,000 to end a Securities and Exchange Commission investigation into allegations that its brokers improperly allowed some customers to change hundreds of mutual fund orders after the New York stock markets closed.
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US life insurer Prudential Financial has been ordered to pay a 600 million dollar fine by the government after some of its brokers engaged in fraudulent trading of mutual fund shares, prosecutors said.
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The founders of PBHG mutual funds agreed to pay &#36;160 million in restitution and civil fines and to be banned for life from the securities industry to resolve allegations they facilitated improper trading in the funds, regulators said on Wednesday.
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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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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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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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NEW YORK, Aug. 19 -- National Securities Corp., a Seattle brokerage firm, has agreed to a one-month ban on opening mutual fund accounts and must pay $600,000 in fines and restitution to settle allegations that its employees helped ...
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SAN FRANCISCO Brokerage firm Charles Schwab continues to be stuck in a financial slump, reporting a loss this morning of 41 (m) million dollars, or three cents a share for its third quarter.
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Employees at the institutional investing unit of brokerage Charles Schwab (SCH ) are anxiously awaiting an announcement from management that their division is to be sold to investment bank UBS (UBS ) for a reported $265 million.
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Slumping stock broker Charles Schwab Corp. suffered a third-quarter loss of $41 million, reflecting the costs of an expansion gone awry.
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NEW YORK (CBS.MW) -- Charles Schwab will sell its seats on the New York Stock Exchange as part of its announced plan to exit the capital markets business, the San Francisco-based discount brokerage said Thursday.
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After cutting trading commissions for bigger and moreactive customers in mid-June, Charles Schwab Corp. said Monday it will cut them for the rest of its customers effective Nov. 1. Schwab will reduce its standard online stock-trading commission from $29.
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Backpedaling from a recent expansion, Charles Schwab Corp. is selling an institutional investment and research division to Swiss banking giant UBS AG for $265 million, another step in the struggling stock brokerage&#39;s push to regain its Main Street appeal.
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NEW YORK -- Retail brokerage firm Charles Schwab Corp. said Wednesday its fourth-quarter profit fell 34 percent from results a year ago that included a tax gain and earnings from its former U.S. Trust wealth management unit that has since been sold.
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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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The brokerage unit of Deutsche Bank has voluntarily agreed to pay almost $90 million in compensation to settle allegations of misconduct, US regulators announced Friday.