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

Other
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

Related Documents:

2011-7 11-Jan-2011 Press Release--Civil Action
SEC Charges Schwab Entities and Two Executives With Making Misleading Statements; Schwab Entities to Pay More Than $118 Million to Settle SEC Charges
LR-21806 11-Jan-2011 Litigation Release
SEC Charges Schwab Entities With Making Misleading Statements
comp21806 11-Jan-2011 Complaint
Complaint
court_doc12_11-cv-00136 16-Feb-2011 Court Docket Document
Final Judgment as to Defendants Charles Schwab Investment Management, Charles Schwab & Co., and Schwab Investments

Other Defendants in Action:

Related Actions:

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