20 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...

• Schwab Yield Plus Class Action Settlement Reached

  May 10, 2010

  Staff Writers

  Charles Schwab Corp. has agreed to pay investors $200 million to settle a YieldPlus Fund class action lawsuit over losses...

• Charles Schwab YieldPlus Settlements and Damages Could Cost $1B: Report

  April 21, 2010

  Staff Writers

  Charles Schwab could face close to $1 billion in damages and settlements stemming from securities fraud lawsuits over their Schwab...

• Morgan Keegan Accused of Fraud and Reckless Business Practices

  April 12, 2010

  Staff Writers

  The U.S. Securities Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA) and four states have charged Morgan Keegan & Company...

• Bond Fund Claims Against Morgan Keegan Results in $3.6M in Awards

  February 25, 2010

  Staff Writers

  Two arbitration panels have ordered Morgan Keegan & Co. to pay a combined total of $3.6 million to two investors...

• OppenheimerFunds Settlement Results in $77M Payment to Illinois

  December 23, 2009

  AboutLawsuits

  OppenheimerFunds Inc. has agreed to pay $77 million to the state of Illinois to settle an ongoing investigation into the...

• Oppenheimer Fund Lawsuit Settled for $20M

  November 24, 2009

  AboutLawsuits

  OppenheimerFunds Inc. has reached a $20 million settlement with the state of Oregon, which accused the company of investment fraud...

• 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...