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Stock Market & Financial Investment News

News Breaks
May 7, 2014
07:39 EDTSCHW, AMTD, ETFCBrokerages sent SEC subpoenas probing order routing, Reuters says
The SEC has subpoenaed brokerages as part of an investigation into how retail customers' orders are routed, executed and filled, though it is unclear which firms received the requests, according to Reuters, citing several people familiar with the matter. Retail brokerage companies include Charles Schwab (SCHW), TD Ameritrade (AMTD), E-Trade (ETFC), and Fidelity Investments' Brokerage Services. Reference Link
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August 27, 2014
06:58 EDTSCHWMorgan Stanley wins $15M arbitration suit vs. Schwab, Reuters says
A Financial Regulatory Authority arbitration panel in San Francisco ruled that Morgan Stanley (MS) won a $15M arbitration lawsuit against Charles Schwab (SCHW), who accused the bank of unlawfully recruiting brokers from a Schwab San Francisco division that left with confidential data, according to Reuters, citing comments from a Charles Schwab spokesman. The ruling ended a disagreement which had lasted two years. Reference Link

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