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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
FINRA and Schwab Lock Horns Over Arbitration Agreements with Brokerage Customers
Publication Date: 2012-02-02
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In the wake of a complaint by the Financial Industry Regulatory Authority, Charles Schwab & Co. has turned to Arnold & Porter and gone to court to seek an unprecedented decision allowing it to escape investor class actions.

Gibson Dunn Strikes Back for FINRA in Schwab Suit over Class Action Waivers
Publication Date: 2012-02-23
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The Financial Industry Regulatory Authority isn't taking kindly to Charles Schwab & Co.'s efforts to get a San Francisco federal district court judge to bless provisions requiring customers of the brokerage to sign class action waivers.

Gibson Dunn Puts the Brakes on Schwab Suit Against FINRA
Publication Date: 2012-05-14
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A judge in San Francisco ruled that Charles Schwab & Co. had jumped the gun with its federal court challenge to the FINRA's ban on mandatory arbitration agreements with brokerage customers.

July 18, 2007 |

Carrie Dwyer (27) The Charles Schwab Corp.

2 minute read
(Big) Correction: Schwab to Pay $200 Million to Settle Class Action Claims over CDO Investments
Publication Date: 2010-04-21
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Boy are our faces red! We mistakenly wrote about the wrong Schwab fund case yesterday. In the case that actually settled, Schwab suffered a series of pre-trial setbacks before San Francisco federal district court judge William Alsop.

September 20, 2007 |

Attorney Ineligibility Order Pursuant to Rule 1:28-2(a)

Notice to the bar.
400 minute read
September 24, 2010 |

2010 Ineligible List

Attorney Ineligibility Order Pursuant to Rule 1:28-2(a)
387 minute read
April 25, 2011 |

Banks Lawyer Up for Failed Mortgage Lawsuits

After the Federal Home Loan Bank of San Francisco sued a whole mob of financial institutions over mortgage bonds gone bad, the banks hired a diverse crowd of lawyers to defend themselves.
4 minute read

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