Penalties and fines

The firm "deprived its clients of unbiased financial advice," the regulator says.

Five fired and barred former registered reps stole more than $1 million from clients over a four-year period, according to the regulator.

The bank continues to battle a series of negative headlines such as erroneous foreclosures, but public and investor reaction has been muted.

The case offers a new look at decisions made inside one of the nation’s largest home lenders before the financial crisis, and the evidence that executives saw of mounting trouble.

The barred onetime Questar Capital and Woodbury Financial rep had pleaded guilty to the scam, which he says stemmed from a gambling addiction.

The SEC claims Schwab failed to file reports on suspicious transactions by independent advisors.

Company policies were not reasonably designed to detect and prevent misconduct, the SEC claims after one advisor allegedly misappropriated more than $5 million from client accounts.

Critics say the SEC isn’t living up to promises made when Jay Clayton became chairman.

The firm has spent the last two years working to overcome various scandals.

The firm cannot increase assets until it comes up with a plan to fix its internal controls.