By Steve Kardell | Published November 1, 2018 | Posted in Fraud | Tagged Tags: Dallas attorney, fraud, SEC fines, securities law violation |
The U.S. Securities and Exchange Commission (SEC) recently fined Charles Schwab & Co., Inc. $2.8 million for failing to report a series of suspicious transactions by independent investment advisors it stopped from using the company to handle client accounts. Under the Bank Secrecy Act, all broker-dealers are required to report any such suspicious transactions that Read More
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