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Articles Posted in Charles Schwab YieldPlus

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Charles Schwab Hit with SEC Wells Notice for YieldPlus Funds

Charles Schwab acknowledged that the SEC served it with a Wells Notice related to its sale of two funds, the YieldPlus Fund and Total Bond Market Fund. A Wells Notice advises the firm that the SEC staff intends to recommend civil charges for possible securities violations. The additional heat from…

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Charles Schwab YieldPlus Fund – Decisions To Make

The Charles Schwab YieldPlus Fund class action suit has generated some serious questions for investors to consider. The U.S. District Court in San Francisco issued a Notice of Pendency to class members which includes important information about how to opt out as a class member. Opt out requests must be…

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Charles Schwab Loses Another YieldPlus Arbitration

Charles Schwab has been trying most of the many arbitration cases filed against it related to the Charles Schwab HighYield Plus fund. Last month, a Los Angeles based Finra panel awarded what appears to be almost 100% of an investor’s losses (about $75,000) in the fund, plus expert witness fees…

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