Estimated reading time: 0 minutes, 16 seconds

FA The Financial Industry Regulatory Authority has ruled that Charles Schwab violated industry regulations when it sought to keep investors from joining in a class action lawsuit and has fined the firm $500,000. So reports Compliance Week.

The charges results from waiver language contained in customer account agreements.

Read the full article from Compliance Week.

Last modified on Saturday, 03 May 2014
Read 2724 times
Rate this item
(0 votes)
Tagged under

Visit other PMG Sites:

Template Settings


For each color, the params below will give default values
Tomato Green Blue Cyan Dark_Red Dark_Blue


Background Color
Text Color


Background Color


Select menu
Google Font
Body Font-size
Body Font-family
PMG360 is committed to protecting the privacy of the personal data we collect from our subscribers/agents/customers/exhibitors and sponsors. On May 25th, the European's GDPR policy will be enforced. Nothing is changing about your current settings or how your information is processed, however, we have made a few changes. We have updated our Privacy Policy and Cookie Policy to make it easier for you to understand what information we collect, how and why we collect it.
Ok Decline