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Registered Rep. December 1, 2005 Kevin Burke	Schwab Advisors Too Independent? Charles Schwab was slapped with a $1 million fine for failing to protect customer assets from a check-kiting scam engineered by its affiliated-but-independent registered investment advisors.
Registered Rep. June 29, 2009 Halah Touryalai	Schwab Cuts Some Fees for 2009 In an effort to ease the financial pain of its registered investment advisors, Charles Schwab has announced a series of initiatives that will save them money.
Investment Advisor August 2009 James J. Green	Schwab Cuts Costs for Its Advisors Charles Schwab Advisor Services announced a series of moves that will have the net effect of reducing costs to the RIAs that custody with Schwab.
Registered Rep. July 25, 2007 Kevin Burke	Smith Barney Fined $50 Million for Market Timing; More Firms, Reps To Be Fined So you thought the market timing scandal was over? Think again.
BusinessWeek June 7, 2004 Lee & Young	Is Schwab's Latest Come-On Enough? Brokerage firm Charles Schwab & Co. is slashing commissions in a bid to win over the high-net-worth clients it so badly needs.
Registered Rep. July 16, 2009 Halah Touryalai	Schwab Profits Down for Q2 But Keeps Adding Breakaway Brokers Charles Schwab reported that its second quarter profit fell 31 percent, thanks to low interest rates and soft capital markets, but in the meantime the company has added 74 breakaway advisors to its RIA platform.
Registered Rep. August 8, 2011 Jerry Gleeson	Schwab: Franchisees Can't Poach RIA Clients Advisors who are considering Charles Schwab's new independent branch program are being told they will have to abide by the company's contact policy.
Registered Rep. March 15, 2006 Kevin Burke	Merrill Fined $2.5 Million Over Lax Email Oversight The SEC slapped the nation's largest brokerage with a $2.5 million fine and a cease-and-desist order for a "systemic" mishandling of email records related to its brokerage business.
Registered Rep. October 1, 2005 John Kador	Schwab Does It Again Charles Schwab, the pioneering discount broker who was slammed by the tech wreck and suffered through protracted management struggles in the past two years, is beating the wirehouses at their own game.
Investment Advisor December 2005 James J. Green	Talk to Chuck Schwab the company began as a transaction service, then moved into mutual funds, but Schwab the man believes his greatest legacy was his ability to democratize investing, and to support the notion that people could get their advice from someone who did not have a conflict of interest.
Registered Rep. November 14, 2003 Will Leitch	Charles Schwab's Image Gets a Smudge In the wake of Friday morning's news that late-trading and market-timing had been occurring in one of Schwab's funds, through its U.S. Trust subsidiary, Schwab senior executives on Friday back-pedaled a bit from their assurance that the firm would not be implicated in mutual fund improprieties.
Registered Rep. November 14, 2003	Schwab Has Plenty to Say About Mutual Funds Not surprisingly, the mutual fund scandal is a hot topic of conversation at Charles Schwab & Co.'s yearly IMPACT conference.
Registered Rep. August 25, 2010 Halah Touryalai	Better Economic Times Ahead? Your Clients Don't Think So. Advisors seem more optimistic about the economy than their own clients, according to a recent survey.
Investment Advisor January 2007 James J. Green	Schwab To Sell U.S. Trust Unit Charles Schwab announced that it would sell its U.S. Trust unit to Bank of America for $3.3 billion in cash in a deal that should close in the second quarter of 2007, assuming it passes the necessary regulatory hurdles.
Financial Advisor October 2006 Thomas M. Kostigen	Discrimination, Or Keeping It Simple? Schwab boots funds that have cheaper share classes elsewhere.
Investment Advisor April 2007 James J. Green	A President For Schwab Walt Bettinger, a longtime Schwab executive, has been named president and COO of the company, effective immediately, raising speculation that he will succeed founder Charles Schwab as CEO.
Registered Rep. June 1, 2006 Kevin Burke	Schwab's Secret Success With more and more brokers going independent these days and open architecture on the rise, Schwab may very well bridge the gap between industry behemoths like Vanguard and Fidelity sooner than you think.
Registered Rep. October 1, 2004 John Kador	Cultures In Conflict When Schwab's then CEO David Pottruck decided to purchase U.S. Trust to help service clients, he probably did not give enough consideration to the intangibles involved -- like customer loyalty, corporate culture and historical identity.
Registered Rep. December 16, 2011 Jerry Gleeson	Compliance Outsourcing Gains Favor With RIAs Charles Schwab's RIA Benchmarking Study this year reports that 38 percent of firms were outsourcing their compliance functions, up from 27 percent in 2010.
The Motley Fool October 17, 2011 Evan Niu	Chuck Talks to Profits Charles Schwab puts up a solid quarter and keeps waiting for rates to rise.
Registered Rep. January 15, 2007 John Churchill	Schwab Pays Up to Move Reps Schwab Institutional, the independent investment advisor arm of Charles Schwab, announced that it plans to offer start-up loans to registered reps who leave their firm to affiliate with Schwab's independent network.
Registered Rep. November 12, 2004 John Churchill	Schwab to Cut Costs The nation's largest discount brokerage firm, Charles Schwab & Co., is cutting 19 retail branches in favor of smaller, one- or two-broker boutiques, a move the company says will cut costs and more effectively serve clients.
Registered Rep. July 5, 2011 Jerry Gleeson	Schwab Finds RIAs Posted Record 2010 Revenue, AUM Average profits surged 45 percent last year among registered investment advisors surveyed, but don't look for a repeat of this year.
Registered Rep. July 20, 2004 Stan Luxenberg	Back to the Future? Courage has never been in short supply at Schwab. The company was founded in the 1970s by Charles R. Schwab, and now he's back at the helm. But the task of reinvention is not a simple one.
Registered Rep. June 1, 2005 Kristen French	Fido Attacks! Long a distant second to Charles Schwab in the lucrative business of serving financial advisors, Fidelity is making an aggressive push to close that gap. And some advisors are taking notice.
Investment Advisor January 2008	Back Office Deal A strategic deal between Charles Schwab and a back-office consulting firm will afford RIAs more outsourcing options.
Registered Rep. January 1, 2007 John Kador	Schwab: Back to Basics With its recently announced plans to sell U.S. Trust to Bank of America, Charles Schwab has decided to leave serving the uber-uber wealthy -- that very top 0.5 percent of the population -- to others.
Registered Rep. September 1, 2004 Will Leitch	Institutional Unit Is Schwab's Bright Spot With the job cuts, branch closings and refocusing currently under way at Charles Schwab & Co., there's one area that seems to be safe. Schwab's Institutional unit isn't going anywhere.
Registered Rep. July 15, 2003 Nigel Goodman	Advisors: Our Clients Are Feeling Bullish It may not be as exciting and thrilling as the running of the bulls in Pamplona, but the recent rumbling of the bulls on Wall Street has created a thrill in its own right for investment advisors.
Investment Advisor February 2007 James J. Green	Schwab to Bankroll Breakaway Brokers With advisor assets at $500 billion, the custodian will offer financing to big brokers going independent.
Registered Rep. January 18, 2011 Jerry Gleeson	Schwab, TDA See Jump In Assets, Trading After a summer drought in market activity, investors began trading in larger numbers last quarter.
Financial Planning May 1, 2012 Jennifer Woods Burke	Gotcha! Audits Get Tougher This year, the SEC and FINRA launched a webinar for firms detailing their expectations and reaffirming that whether a firm is large or small, regulators expect the same level of diligence when it comes to audits.
Financial Planning September 1, 2009 Marion Asnes	Flying High Thoughts by Jim McCool, executive vice president and head of institutional services at Schwab, talks about back office focus, trust, and service.
Registered Rep. December 5, 2002 Rick Weinberg	Tables Turned on Schwab? Suit claims Schwab, contrary to its ads, was not conflict free Merrill Lynch's David Komansky must be having a laugh. On Tuesday, a suit was filed in Los Angeles Superior Court claiming that Schwab was guilty of running television and other ads that materially mislead investors.
Registered Rep. March 23, 2015 Ryan W. Neal	Schwab Reveals Intelligent Portfolios For Advisors Schwab is making the technology the backbone of an account management tool for registered investment advisors.
Registered Rep. January 1, 2003 John Kador	Why Wall St. Hates Charles Schwab Charles Schwab: How One Company Beat Wall Street and Reinvented the Brokerage Industry is the first full-length book about Schwab by an independent writer.
Investment Advisor June 2006 Kathleen M. McBride	Stretched For broker/dealers who are already stressed, dually registered advisors are a challenge being met in varied ways.
Registered Rep. April 15, 2011 Jerry Gleeson	Trading, Fees Lift Schwab Profits Higher Continued growth in client trading and fees helped drive profits at Charles Schwab Corp. to higher-than-expected levels for the first quarter.
Financial Advisor January 2004 Dorothy Hinchcliff	Custodians Are Knocking More custody players have been clamoring for the business of registered investment advisors, and that trend will continue this year, say two well-known research firms for financial institutions and investment managers.
Registered Rep. February 2, 2009 Brooke Southall	Schwab To RIAs: Expect Strong Service Despite Slowdown Despite a recent drop in share price, Schwab maintains that their long-term strategy is sound and will emerge as a winner from this credit crisis.
Registered Rep. May 21, 2007 Halah Touryalai	Schwab Institutional President "Retires" Deborah McWhinney, president of Schwab Institutional, retired this morning at the age of 52, something communicated to the firm's advisors and employees via e-mail.
Registered Rep. July 16, 2010 Jerry Gleeson	A Mixed Second Quarter for Merrill, Schwab Second-quarter earnings results posted today by Merrill Lynch and Charles Schwab Corp. offered a mixed picture to financial advisors hoping for a stronger recovery.
Financial Advisor March 2004	Frontline News Former Securities and Exchange Commission Chairman Arthur Levitt stunned attendees at TD Waterhouse's annual conference in Orlando in early February when, in response to a question, he indicated he was opposed to a proposed rule that would grant exemption from registered investment advisor registration for wirehouse brokers.
The Motley Fool July 20, 2004 Nathan Slaughter	A New Day at Schwab Charles Schwab CEO David Pottruck is forced to resign amid poor second-quarter earnings.
On Wall Street October 1, 2009 Thomas O. Gorman	SEC v. Bank of America: Where to Go From Here? The SEC thought it had completed an investigation, brought an enforcement action and then settled it.
Registered Rep. June 4, 2012 Lauren Barack	The Fishbowl Effect As financial advisor ratings websites like BrightScope and Advice IQ proliferate, advisors are going to have to get comfortable with having their records a click away from clients and prospects.
Financial Advisor August 2009 Eric Rasmussen	Wish Upon An 'IAR' RIA or IAR? Registered investment advisor or independent advisor representative; the anagram you choose will depend on how big you are and how independent you want to be.
Registered Rep. September 14, 2009 Brooke Southall	The Top 10 Things to Know on the Eve of Schwab IMPACT Though IMPACT events are similar from year to year, Schwab makes efforts to freshen them up. Here are some things to know headed in to Schwab's conference.
The Motley Fool January 18, 2005 Alyce Lomax	Second Chance for Schwab? Investors find reasons for optimism for Charles Schwab.
Investment Advisor March 2010 Robert F. Keane	Changes at the Top for RIA Units at Fidelity and Schwab At a time when growth in the RIA channel has been robust to say the least, the two largest custodians have announced executive changes and restructuring of their units serving RIAs.