SEC
Whistleblower
Attorneys

July 09, 2018

Charles Schwab & Co., Inc.

Trading and Pricing

SANCTION AMOUNT: $2800000

Defendants: Charles Schwab & Co., Inc.

Defendant broker-dealer agreed to settle charges that it failed to file Suspicious Activity Reports on the suspicious transactions of independent investment advisers that it terminated from custodying their client accounts with Defendant.

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