Defendant Name:
Schwab Investments
Defendant Type:
Other
Document Reference:
33-9171
Document Details
Legal Case Name
In the Matter of Charles Schwab Investment Management; Charles Schwab & Co., Inc.; and Schwab Investments
Document Name
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
Document Date
11-Jan-2011
Document Format
Administrative Proceeding
Allegation Type
Investment Advisers/Investment Companies
Disgorgement & Penalty Information
Resolutions
Cease and Desist Order
Compliance Related Independent Consultant
Various undertakings
Other Defendants in Action:
