Signaling its continued focus on how major industry players communicate with investors, the SEC has announced a $119 million settlement with Charles Schwab for misleading investors.
January 11, 2011 at 12:00 AM
1 minute read
The original version of this story was published on Law.Com
The Securities and Exchange Commission is starting the year with a bang, announcing a $119 million settlement with the Charles Schwab Corp. for misleading investors and failing to prevent the misuse of nonpublic information.
The SEC also charged two Schwab senior executives with fraud and other securities law violations in a complaint filed in San Francisco federal court.
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