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The SEC claims Schwab failed to file reports on suspicious transactions by independent advisors.
July 3
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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.
June 29
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DaRayl Davis spent client funds on a luxury mansion, theater tickets and car rentals, federal prosecutors say.
June 29
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The firm arranged to make transactions differently on the days that it was required to calculate its reserve deposits, the regulator says.
June 22
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Her fresh criticism comes after FINRA barred her former Morgan Stanley branch manager this week.
June 21
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The court said the in-house SEC judge who handled Raymond Lucia’s case was a constitutional "officer," meaning he should have been directly appointed by the SEC.
June 21
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Prosecutors are presenting evidence of his training in securities markets to show that he'd likely know the information was purloined.
June 20
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The client, who was the co-founder of the HSN, suffered from dementia and was declared legally incompetent, according to a FINRA letter of acceptance, waiver and consent.
June 19
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The regulator obtained an emergency asset freeze against the advisor.
June 14
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The wirehouse's traders and salespersons misled and overcharged clients with regard to the securities, the regulator charges.
June 13
