Charles Schwab & Co.

• 

  FINRA Files Complaint Against Schwab for Asking Customers to Sign Waiver

  By Melanie Waddell, AdvisorOne  |  February 1, 2012

  FINRA announced Wednesday that it had filed a complaint against Charles Schwab & Co. charging the firm had violated FINRA rules by requiring its customers to waive their rights to bring class actions against the firm.

• 

  RIAs Seeking More Risk in Fixed-Income ETFs: Schwab

  By Joyce Hanson, AdvisorOne  |  January 20, 2012

  RIAs looked for safety in their fixed-incom ETFs in 2011, but this year they may be willing to take on more risk, said Charles Schwab analysts in an ETF update on Friday.

• 

  Fed Expected to Stand Pat on Rates, QE3 at Meeting

  By Joyce Hanson, AdvisorOne  |  June 21, 2011

  Fed policymakers are expected on Wednesday to keep interest rates at historic lows and to make no plans for a third round of quantitative easing.

• 

  Schwab Announces New Franchise Program for Independent Advisors

  By John Sullivan, Advisorone  |  June 6, 2011

  Offices will offer same products, pricing, and service as company-managed branch locations, but with ‘independence.’

• 

  Schwab Publishes ‘Select List’ to Help Investors Pick ETFs

  By Joyce Hanson, AdvisorOne  |  March 9, 2011

  Schwab has released a new 'ETF Select List,' designed to help retail investors break through the thicket of ETFs that have sprung up and find suitable low-cost funds.

• Schwab, AARP Join Forces to Offer Financial Services to Retirees

  By Joyce Hanson, AdvisorOne  |  January 31, 2011

• 

  SEC, FINRA Charge Schwab, 2 Executives Over YieldPlus Fund

  By Marlene Y. Satter  |  January 12, 2011

  On Tuesday both the SEC and FINRA imposed penalties on Schwab, as well as two Schwab executives, in connection with charges filed by the SEC over the YieldPlus Fund.

• 

  Schwab Reaches Tentative Deal on Class Action Settlement—Again

  By John Sullivan, Advisorone  |  November 19, 2010

  A class action suit brought by plaintiffs' attorneys against Charles Schwab & Co. over the investment giant's YieldPlus Fund appears to be settled.

• At Schwab Impact, Skepticism Voiced Over 'New Normal'

  By James J. Green, AdvisorOne  |  October 27, 2010

  During the pre-conference opening session at Schwab Impact 2010 in Boston on Tuesday evening, advisors in the audience responded warmly to skepticism that the markets and economy is marked by a "new normal" as espoused by PIMCO's Bill Gross and Mohammed El-Erian.

• BondDesk Hires Schwab Fixed-Income V.P. Peter Campfield

  By Joyce Hanson, AdvisorOne  |  September 13, 2010

  Financial technology firm BondDesk Group announced Monday, September 13 that it has hired Peter Campfield, former vice president of fixed income trading at Charles Schwab & Co., as president of the BondDesk Trading (BDT) platform.