ERC721

Charles Schwab agreed to pay $300,000 to the state and $2.5 million compensation to investors, in settlement of allegations it failed to reasonably supervise its agents and failed to enforce procedures to ensure its yieldplus Fund complied with securities laws. For more info visit https://portal.ct.gov/DOB/Enforcement/Securities-Orders-2/Charles-Schwab-Consent-Order

Name

762

Owner

0x107752288b215467DE25c16119787D715ec8E26e

ID#762

Rarity

LO:62%

Parent Company

Charles Schwab Corp.

EX:1%

Company

Charles Schwab & Co., Inc.

EX:MAX

Violation

Defrauding Investors

HI:19%

Penalty

$2,800,000.00

EX:1%

Year

2011