ERC721

The Financial Industry Regulatory Authority censured and fined Charles Schwab & Co., Inc. $2 Million for net capital deficiencies and for related supervisory failures. The net capital deficiencies occurred on three separate dates in 2014, and ranged from $287 million to $775 million. For more info visit https://www.finra.org/media-center/news-releases/2015/finra-fines-charles-schwab-co-inc-2-million-net-capital-deficiencies

Name

101

Owner

0x78f0269f5b1Ca914c8c58993f41181f89e212B27

ID#101

Rarity

LO:54%

Parent Company

Charles Schwab Corp.

EX:1%

Company

Charles Schwab & Co.

EX:MAX

Violation

Financial Market Violations

X-HI:14%

Penalty

$2,000,000.00

EX:1%

Year

2015