Defendant Name: Schwab Investments

Defendant Type: Other

Document Reference: LR-21806

Document Details

Legal Case Name SEC v. Charles Schwab Investment Management, Charles Schwab & Co., Inc., and Schwab Investments
Document Name SEC Charges Schwab Entities With Making Misleading Statements
Document Date 11-Jan-2011
Document Format Civil Proceeding
Case Number 11-cv-00136
Federal District Court California, Northern District of California
Allegation Type Securities Offering
Document Summary

Disgorgement & Penalty Information

Resolutions
None Specified
Fair Funds

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
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

Related Actions:

In the Matter of Charles Schwab Investment Management; 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