Violation Tracker Parent Company Summary

Parent Company Name: 
Charles Schwab Corp.
Ownership Structure: 
publicly traded (ticker symbol SCHW)
Headquartered in: 
California
Major Industry: 
financial services
Specific Industry: 
financial services
Penalty total since 2000: 
$118,441,800
Number of records: 
4
Top 10 Primary Offense TypesPenalty TotalNumber of Records
investor protection violation$118,061,8002
securities issuance or trading violation$350,0001
discriminatory practices$30,0001
Notes: 

Parent-subsidiary linkages are based on relationships current as of the latest revision listed in the Update Log, which may vary from what was the case when a violation occurred. The penalty dollar total above may be adjusted to account for the fact that the list of entries below may include both agency records and settlement announcements for the same case; or else a penalty covering multiple locations may be listed in the individual records for each of the facilities. Duplicate penalty amounts are marked with an asterisk in the list below.

Associated Names: 

CHARLES SCHWAB; CHARLES SCHWAB BANK; CHARLES SCHWAB INVESTMENT MGT AND CHARLES SCHWAB AND

Links: 

Subsidy Tracker data on financial assistance to this company by federal, state and local government agencies can be found here.


Individual Penalty Records:

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Company Primary Offense Type Year Agency Penalty Amountsort icon
Charles Schwab Investment Management and Charles Schwab & Co., Inc. investor protection violation 2011 SEC $118,000,000
Charles Schwab & Co., Inc. securities issuance or trading violation 2004 SEC $350,000
Charles Schwab & Co. investor protection violation 2014 SEC $61,800
Charles Schwab Bank discriminatory practices 2011 HUD $30,000
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