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January 06, 2014 |

VERDICTS & SETTLEMENTS

7 minute read
January 02, 2014 |

U.S. Judge Claims Jurisdiction Over State LIBOR Cases

Southern District Judge Naomi Reice Buchwald, who gutted federal LIBOR class action litigation back in March, ruled Monday that she has jurisdiction over two high-profile investor state lawsuits filed against banks that set the LIBOR interest rate.
3 minute read
LIBOR Judge Takes Control of State Court Investor Suits
Publication Date: 2013-12-30
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A federal judge who previously gutted investor litigation over LIBOR ruled Monday that she has jurisdiction over two high-profile state-court lawsuits filed against banks that set the global benchmark interest rate.

November 16, 2001 |

The Kindest Cut

The Charles Schwab Corporation tried hard to avoid layoffs, but once that effort proved fruitless, it offered a generous severance package to cushion ex-employees' fall. Schwab's "transition package" includes innovative features such as a $10 million education fund for laid-off workers who want to return to school and a $7,500 bonus for any ex-employee rehired by Schwab within 18 months of being terminated.
7 minute read
August 28, 2013 |

Court Reinstates A.G. Suit Against Charles Schwab

A unanimous First Department panel ruled that Justice O. Peter Sherwood had incorrectly reached the merits of the case accusing the brokerage firm of falsely characterizing auction rate securities as safe, cash-equivalent investments when he granted a motion to dismiss.
4 minute read
January 11, 2011 |

SEC Reaches $119 Million Settlement With Charles Schwab

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.
3 minute read
November 19, 1999 |

SEC Gives 'Green Light' to Schwab Internet 'Road Shows'

The Securities and Exchange Commission declined to put a stop sign in the path of the electronic "road shows" Charles Schwab & Co. Inc. plans to offer select customers across the country. "Road shows" are often given by companies conducting initial public offerings, which send out top executives to meet with groups of potential investors. Use of the Internet to conduct a road show will reduce some of the costs associated with IPOs and likely open up "attendance" to many more potential investors.
2 minute read
November 02, 2011 |

A.G. Suit Against Schwab Over Auction Rate Securities Dismissed

Manhattan Supreme Court Justice O. Peter Sherwood said that the lawsuit failed to allege that the company made any statements that were fraudulent at the time they were made, even though auction rate securities later proved to be unsafe.
4 minute read
January 12, 2011 |

SEC Reaches $119 Million Settlement with Charles Schwab

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.
3 minute read

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