The Banksters
0x3…6f4
ERC721
The Financial Industry Regulatory Authority ordered Charles Schwab & Company, Inc., to pay $18 million into a Fair Fund to be established by the Securities and Exchange Commission (SEC) to repay investors in yieldplus, an ultra short-term bond fund managed by Schwab's affiliate, Charles Schwab Investment Management. The $18 million consisted of the $17.5 million in fees that Schwab collected for sales of the fund, plus a fine of $500,000, both of which will have been designated as restitution to customers. For more info visit https://www.finra.org/media-center/news-releases/2011/finra-orders-schwab-pay-18-million-investors-improper-marketing
Name
643
ID#643
Rarity
MID:47%
Parent Company
Charles Schwab Corp.
EX:1%
Company
Charles Schwab & Company, Inc.
EX:MAX
Violation
Financial Market Violations
X-HI:14%
Penalty
$18,000,000.00
EX:MAX
Year
2011