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: Securities Law Prof Blog

FINRA and Charles Schwab Settle Charges Related to Marketing of YieldPlus Fund

By Securites Lawprof

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FINRA announced that it has ordered Charles Schwab & Company, Inc., to pay $18 million into a Fair Fund to be established by the Securities and Exchange Commission (SEC) to repay investors in YieldPlus, an ultra short-term bond fund managed...

Full post as published by Securities Law Prof Blog on January 11, 2011 (boomark / email).

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