Defendant Name:
Schwab Investments
Defendant Type:
Other
Initial Case Details
Legal Case Name
SEC v. Charles Schwab Investment Management, Inc.; Charles Schwab & Co., Inc; and Schwab Investments
First Document Date
11-Jan-2011
Initial Filing Format
Civil Proceeding
Case Number
11-cv-00136
Allegation Type
Securities Offering
Federal District Court
California, Northern District of California
Violations Alleged
•
Section 13(a) Investment Company Act
Additionally,
Charles Schwab & Co., Inc. is alleged to have aided and abetted Schwab Investments's violation of Section 34(b) Investment Company Act.
Charles Schwab & Co., Inc. is alleged to have caused Schwab Investments's violation of Section 34(b) Investment Company Act.
Charles Schwab Investment Management is alleged to have aided and abetted Schwab Investments's violation of Section 13(a), 34(b) Investment Company Act (willfully/knowingly).
Charles Schwab Investment Management is alleged to have caused Schwab Investments's violation of Section 13(a), 34(b) Investment Company Act.
Resolutions
First Resolution Date
11-Jan-2011
Other Defendants in Action:
