Charles Schwab & Co.
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States urge SEC to chuck Finra's Schwab decisionThe pressure is mounting to get rid of mandatory arb contracts. The latest: State regulators are urging the SEC to toss a Finra ruling that upheld Charles Schwab's use of the waivers.
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Fidelity heats up ETF battle, but some advisers grouseFido late last week substantially expanded its roster of commission-free ETFs. But some advisers are already criticizing the move. Jason Kephart reports.
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Supremes may decide Finra-Schwab scuffleThe battle between Finra and Schwab over class-action waivers is not done. Lawyers say the case could get swept up in the national debate over consumer rights -- and ultimately end up before the Supreme Court.
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Ensuring class actions the right thing to doIf class actions are taken off the table, investors who have been victimized by brokers will be hurt. Perhaps just as importantly, a tool that helps keep the brokerage industry honest will no longer be in place.
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Schwab's class action win a blueprint for other firmsMore brokerage firms are expected to demand that customers give up their right to file class actions against them
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Schwab expanding one franchise at a timeAbout two years ago, Brian Carpenter, 44, then an adviser with RBC Wealth Management in Eau Claire, Wis., decided it was time to go out and start his own practice in a new — and preferably warmer — locale.
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iShares head talks inflowsMark Wiedman had a lot to be happy about last year. During his first full year as global head of BlackRock Inc.'s iShares business, the world's largest exchange-traded-fund provider led the industry in inflows for the first time in three years. iShares took in more than $60 billion in net inflows
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TD's custody business tops $200B in assets
A strong gain in net new assets took TD Ameritrade Institutional over the $200 billion asset level last month.
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Schwab's RIA firms knocked 'em dead last quarterAdvisers who hold their assets at The Charles Schwab Corp.'s custody unit brought in an eye-popping $24.4 billion in net new assets in the fourth quarter of last year — an all-time record.
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With ETFs, commission-free doesn't mean cost-free
The Charles Schwab Corp. made a big splash three years ago when it offered the first exchange-traded funds to trade commission-free.
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INsider: The cost of commission-free ETFsSchwab reportedly is putting together a commission-free platform — but there may be a catch
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Ignoring clients' wives can be costly, panel saysSobering data about women and their relationships with their financial advisers set the stage last Wednesday for a panel discussion on winning and retaining female clients.
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Take cue from Costanza: Do the opposite of your gut
Financial advisers could learn a thing or two from George Costanza of “Seinfeld” when it comes to investing.
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Chuck to advisers: Don't sweat the fiscal cliffForget the bad news, and listen to Chuck. Charles Schwab, founder of the firm that bears his name delivered a positive message about the market and the economy to advisers Wednesday afternoon at the Schwab Impact conference in Chicago. “I'm totally empathetic” with what advisers are going through
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NextGen next target for SchwabSchwab Advisor Services on Wednesday announced several new initiatives aimed at developing the next generation of advisers. In a speech to attendees at the Schwab Impact conference Wednesday morning, Bernie Clark, head of the firm's custody unit, said Schwab will be introducing a new executive
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