Defendant Name: Schwab Investments

Defendant Type: Other

Initial Case Details

Legal Case Name In the Matter of Charles Schwab Investment Management; Charles Schwab & Co., Inc; and Schwab Investments
First Document Date 11-Jan-2011
Initial Filing Format Administrative Action
File Number 3-14184
Allegation Type Investment Advisers/Investment Companies

Violations Alleged

Other
• Section 13(a) Investment Company Act
Additionally, Charles Schwab Investment Management is alleged to have aided and abetted Schwab Investments's violation of Section 13(a) Investment Company Act (willfully/knowingly).
Charles Schwab Investment Management is alleged to have caused Schwab Investments's violation of Section 13(a) Investment Company Act.
Charles Schwab & Co., Inc. is alleged to have aided and abetted Schwab Investments's violation of Section 34(b) Investment Company Act (willfully/knowingly).

Resolutions

First Resolution Date 11-Jan-2011

Related Documents:

2011-7-Admin 11-Jan-2011 Press Release--Administrative Proceeding
SEC Charges Schwab Entities and Two Executives With Making Misleading Statements; Schwab Entities to Pay More Than $118 Million to Settle SEC Charges
33-9171 11-Jan-2011 Administrative Proceeding
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Sections 15(b) and 21C of the Securities Exchange Act of 1934, Sections 203(e) and 203(k) of the Investment Advisers Act of 1940, and Section 9(f) of the Investment Company Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Other Defendants in Action:

Charles Schwab & Co., Inc.
Charles Schwab Investment Management

Related Actions:

SEC v. Charles Schwab Investment Management, Inc.; Charles Schwab & Co., Inc; and Schwab Investments
Charles Schwab & Co., Inc.
Charles Schwab Investment Management
Schwab Investments
SEC v. Kimon P. Daifotis and Randall Merk
Randall Merk
Kimon P. Daifotis
In the Matter Randall Merk
Randall Merk
In the Matter of Kimon P. Daifotis
Kimon P. Daifotis