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Blog Home | Archive | Categories Home The Latest Court Dismisses Charles Schwab Suit that Challenged FINRA on Class Action Waivers May 13, 2012 @ 4:43 pm     A federal court in California dismissed a complaint filed by Charles Schwab Corp. that tried to block regulators from disciplining the brokerage firm for embedding a clause in its customer account agreements that precludes class-action lawsuits. The Financial Industry Regulatory Authority (FINRA) alleged in a complaint filed in February with its Office of Hearing Officers that Schwab added a "Waiver of Class Action or Representative Action" to more than 6.8 million customer account agreements in October 2011 that would prohibit customers from starting or joining class-action lawsuits against the brokerage firm. The complaint said that the class action waiver would incorrectly lead millions of Schwab customers to believe that they did not have the right to bring or participate in class action against Schwab, or to consolidate... Read Full Article Archive January - 2009   2010   2011   2012   February - 2009   2010   2011   2012   March - 2009   2010   2011   2012   April - 2009   2010   2011   2012   May - 2009   2010   2011   2012   June - 2009   2010   2011   2012   July - 2009   2010   2011   2012   August - 2009   2010   2011   2012   September - 2009   2010   2011   2012   October - 2009   2010   2011   2012   November - 2009   2010   2011   2012   December - 2009   2010   2011   2012   Categories » Brokage Firm Fraud (83) » Broker Fraud (65) » FINRA Securities Arbitration (79) » Insider Trading (15) » Investment Fraud (105) » Merrill Lynch (12) » Morgan Stanley (19) » Mutual Fund Fraud (22) » Preferred Securities Fraud (1) » RBC Capital Markets (2) » Richard Byerly (1) » SEC (77) » Stockbroker Arbitration (28) » stockbroker theft (7) » Unfair Securities Practices (92) » Wachovia Securities, L.L.C. (2) » Wells Fargo Securities, L.L.C. (3) Subscribe! RSS Subscription Blog Article Search   Recent Articles   Court Dismisses Charles Schwab Suit that Challenged FINRA on Class Action Waivers  -  A federal court in California dismissed a complaint filed by Charles Schwa...   Former Newbridge Securities Broker Suspended and Fined for Unsuitable Switching of Annuities  -  The Financial Industry Regulatory Authority (...   Wells Fargo Brokerage Firms Fined for Failure to Supervise ETF Sales  -  A group of limited liability companies affiliated with Wells Fargo have ag...   Morgan Stanley Fined $1.75 Million for Weak Supervision of ETF Sales  -  Morgan Stanley & Co. LLC has consented to be fined $1.75 million by th...   UBS Puerto Rico to Pay $26 Million for Fraud Related to Mutual Funds  -  UBS Financial Services Inc. of Puerto Rico and two of its executives have ...   Former Ameritas Broker Barred by FINRA and Ordered to Pay Restitution  -  Harold E. Wilson, a former broker with ...   The Judicial Panel on Multidistrict Litigation Orders Transfer and Consolidation Of National Royal Alliance Ponzi Scheme Cases to Philadelphia  -  In October 2010, Nicholas J. Guiliano, Esquire of the Guiliano Law Firm, P...   FINRA Files Action Against Former Broker for Misappropriation  -  The Department of Enforcement of the Financ...   Federal Court Rules Ignorance no Excuse for Brokerage Firm that Employed Thieving Broker  -  An arbitration claim by Lucy and John Mattinen against White Pacific Secur...   Former LPL Financial Broker Failed to Inform Firm About Promissory Notes  -  When Jeffrey D. Ogle, formerly a broker with LPL Financial LLC, induced fi...

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