U.S. SEC fines Schwab $2.8 mln over reporting failures
01 Jul U.S. SEC fines Schwab $2.8 mln over reporting failures
Posted at 17:39h
in
News
by KMFSLLP
July 2 (Reuters) – Charles Schwab Corp will pay a
$2.8 million civil fine to settle U.S. Securities and Exchange
Commission charges it failed to file suspicious activity reports
on questionable transactions conducted by independent investment
advisers.
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