Defendant Name:
Randall Merk
Defendant Type:
Individual
Initial Case Details
Legal Case Name
In the Matter Randall Merk
First Document Date
28-Nov-2011
Initial Filing Format
Administrative Action
File Number
3-14642
Allegation Type
Investment Advisers/Investment Companies
Affiliations
- Former: President at Charles Schwab Investment Management
- Former: Executive Vice President at Charles Schwab & Co., Inc.
- Current: Executive Vice President at Charles Schwab Corporation
- Former: Broker/Registered Representative at Schwab YieldPlus Fund
Violations Alleged
•
Section 34(b) Investment Company Act
Related Violations Alleged
Randall Merk is alleged to have aided and abetted an unidentified individual or entity's violation of Sections 206(2), 206(4), Rule 206(4)-8 Advisers Act.
Resolutions
Bars:
- Bar on association with a broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization for 12 months
- Bar from participating in any penny stock offering for 12 months
First Resolution Date
