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	<title>Charles Schwab Archives - Insurance Journal</title>
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		<title>Charles Schwab Subsidiaries to Pay $187 Million to Settle SEC Charges</title>
		<link>https://www.insurancejournal.com/news/national/2022/06/13/671532.htm</link>
		
					<dc:creator><![CDATA[Admin]]></dc:creator>
					<pubDate>Mon, 13 Jun 2022 14:11:59 +0000</pubDate>
				<category><![CDATA[National News]]></category>
		<category><![CDATA[Charles Schwab]]></category>
		<category><![CDATA[SEC]]></category>
		<category><![CDATA[securities and exchange commission (SEC)]]></category>
		<category><![CDATA[SIPC]]></category>
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							<description><![CDATA[The U.S. Securities and Exchange Commission (SEC) on Monday said it charged three Charles Schwab Corp investment adviser subsidiaries with failing to disclose less profitable fund allocations and misleading its robo-adviser clients. Without admitting or denying the SEC&#8217;s charges, the &#8230;]]></description>
		
		
		
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		<title>Schwab to Buy USAA Investment Management Firm&#8217;s Assets for $1.8 Billion</title>
		<link>https://www.insurancejournal.com/news/national/2019/07/26/534016.htm</link>
		
					<dc:creator><![CDATA[Andrew G. Simpson]]></dc:creator>
					<pubDate>Fri, 26 Jul 2019 12:57:59 +0000</pubDate>
				<category><![CDATA[National News]]></category>
		<category><![CDATA[2019 M&A]]></category>
		<category><![CDATA[Business Moves & Mergers]]></category>
		<category><![CDATA[Charles Schwab]]></category>
		<category><![CDATA[investment manager]]></category>
		<category><![CDATA[United Services Automobile Association (USAA)]]></category>
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							<description><![CDATA[The Charles Schwab Corp. has agreed to acquire assets of USAA&#8217;s investment management company, including brokerage and managed portfolio accounts, for $1.8 billion in cash. The companies have also agreed to enter into a long-term referral agreement that will make &#8230;]]></description>
		
		
		
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		<title>Charles Schwab Eyes Purchase of USAA Wealth Management, Brokerage Units: WSJ</title>
		<link>https://www.insurancejournal.com/news/national/2019/07/18/532682.htm</link>
		
				<pubDate>Thu, 18 Jul 2019 12:37:28 +0000</pubDate>
				<category><![CDATA[National News]]></category>
		<category><![CDATA[Business Moves & Mergers]]></category>
		<category><![CDATA[Charles Schwab]]></category>
		<category><![CDATA[USAA]]></category>
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							<description><![CDATA[Charles Schwab Corp. is in talks to buy brokerage and wealth-management operations from USAA for about $2 billion, the Wall Street Journal reported on Monday, citing people familiar with the matter. The deal, which could bring Schwab roughly $100 billion &#8230;]]></description>
		
		
		
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		<title>Schwab Temporarily Drops Client Class Action Waiver</title>
		<link>https://www.insurancejournal.com/news/national/2013/05/17/292423.htm</link>
		
					<dc:creator><![CDATA[Admin]]></dc:creator>
					<pubDate>Fri, 17 May 2013 13:14:42 +0000</pubDate>
				<category><![CDATA[National News]]></category>
		<category><![CDATA[arbitration]]></category>
		<category><![CDATA[Charles Schwab]]></category>
		<category><![CDATA[class action waiver]]></category>
		<category><![CDATA[Federal Arbitration Act]]></category>
		<category><![CDATA[Financial Industry Regulatory Authority]]></category>
		<category><![CDATA[FINRA]]></category>
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							<description><![CDATA[Charles Schwab Corp. has temporarily reversed its requirement that clients waive their right to bring class-action lawsuits, adding a new twist in a battle closely watched by the securities industry and plaintiffs&#8217; attorneys. &#8220;Effective immediately, Schwab is modifying its account &#8230;]]></description>
		
		
		
			</item>
		<item>
		<title>SEC Regulator Urges Ban on Mandatory Arbitration Agreements by Investment Firms</title>
		<link>https://www.insurancejournal.com/news/national/2013/04/16/288549.htm</link>
		
					<dc:creator><![CDATA[Admin]]></dc:creator>
					<pubDate>Tue, 16 Apr 2013 15:47:41 +0000</pubDate>
				<category><![CDATA[National News]]></category>
		<category><![CDATA[Charles Schwab]]></category>
		<category><![CDATA[Dodd-FRank]]></category>
		<category><![CDATA[Financial Industry Regulatory Authority]]></category>
		<category><![CDATA[mandatory arbitration clause]]></category>
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							<description><![CDATA[A top U.S. securities regulator on Tuesday urged the government to consider adopting new rules that would prohibit or restrict brokerages and advisers from forcing customers to sign away their right to sue. &#8220;By providing investors with the ability to &#8230;]]></description>
		
		
		
			</item>
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		<title>Securities Regulator OKs Schwab Ban on Class Actions by Clients</title>
		<link>https://www.insurancejournal.com/news/national/2013/02/21/282340.htm</link>
		
					<dc:creator><![CDATA[Admin]]></dc:creator>
					<pubDate>Fri, 22 Feb 2013 04:39:33 +0000</pubDate>
				<category><![CDATA[National News]]></category>
		<category><![CDATA[broker dealer liability]]></category>
		<category><![CDATA[Charles Schwab]]></category>
		<category><![CDATA[class action arbitration clause]]></category>
		<category><![CDATA[class action waiver]]></category>
		<category><![CDATA[Financial Industry Regulatory Authority]]></category>
		<category><![CDATA[Schwab class action ban]]></category>
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							<description><![CDATA[Charles Schwab Corp. can ban its clients from bringing class action lawsuits, a securities industry regulatory panel ruled Thursday in a sweeping decision that is likely to influence other U.S. brokerage firms to follow Schwab&#8217;s policy. Schwab last year told &#8230;]]></description>
		
		
		
			</item>
		<item>
		<title>Schwab Loses Bid to Halt Regulatory Discipline Over Right to Sue</title>
		<link>https://www.insurancejournal.com/news/national/2012/05/13/247361.htm</link>
		
				<pubDate>Mon, 14 May 2012 01:13:09 +0000</pubDate>
				<category><![CDATA[National News]]></category>
		<category><![CDATA[arbitration agreements]]></category>
		<category><![CDATA[Charles Schwab]]></category>
		<category><![CDATA[private right to sue]]></category>
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							<description><![CDATA[A federal court judge on Friday threw out a lawsuit by Charles Schwab Corp. that sought to stop its regulator from bringing a disciplinary case against the company for trying to take away customers&#8217; rights to sue it in class-action &#8230;]]></description>
		
		
		
			</item>
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		<title>Brokerage Schwab Hit with Complaint Over Client Lawsuit Waivers</title>
		<link>https://www.insurancejournal.com/news/national/2012/02/02/233868.htm</link>
		
					<dc:creator><![CDATA[Admin]]></dc:creator>
					<pubDate>Thu, 02 Feb 2012 13:55:51 +0000</pubDate>
				<category><![CDATA[National News]]></category>
		<category><![CDATA[Charles Schwab]]></category>
		<category><![CDATA[class action waiver]]></category>
		<category><![CDATA[Financial Industry Regulatory Authority]]></category>
		<category><![CDATA[investor lawsuits]]></category>
		<category><![CDATA[liability waiver]]></category>
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							<description><![CDATA[Wall Street&#8217;s own watchdog filed a complaint against Charles Schwab Corp. on Wednesday accusing the online brokerage of requiring customers to waive their rights to pursue class actions against the firm, a violation of industry rules. The Financial Industry Regulatory &#8230;]]></description>
		
		
		
			</item>
		<item>
		<title>New York AG&#8217;s Securities Fraud Lawsuit Against Charles Schwab Tossed</title>
		<link>https://www.insurancejournal.com/news/east/2011/11/01/222356.htm</link>
		
					<dc:creator><![CDATA[Admin]]></dc:creator>
					<pubDate>Tue, 01 Nov 2011 12:28:58 +0000</pubDate>
				<category><![CDATA[East News]]></category>
		<category><![CDATA[Charles Schwab]]></category>
		<category><![CDATA[Gov. Andrew Cuomo]]></category>
		<category><![CDATA[New York Attorney General]]></category>
		<category><![CDATA[securities lawsuits]]></category>
		<category><![CDATA[securities litigation]]></category>
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							<description><![CDATA[A lawsuit against Charles Schwab Corp. over auction-rate securities that was filed by former New York Attorney General Andrew Cuomo was thrown out by a state court judge. The 2009 lawsuit accused the San Francisco-based discount brokerage of fraud in &#8230;]]></description>
		
		
		
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