Violation Tracker Parent Company Summary
|Top 10 Primary Offense Types||Penalty Total||Number of Records|
|investor protection violation||$120,861,800||3|
|wage and hour violation||$3,800,000||1|
|securities issuance or trading violation||$350,000||1|
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.
CHARLES SCHWAB; CHARLES SCHWAB BANK; CHARLES SCHWAB INVESTMENT MGT AND CHARLES SCHWAB AND
Subsidy Tracker data on financial assistance to this company by federal, state and local government agencies can be found here.
Individual Penalty Records:
|Company||Primary Offense Type||Year||Agency||Penalty Amount|
|Charles Schwab Investment Management and Charles Schwab & Co., Inc.||investor protection violation||2011||SEC||$118,000,000|
|Charles Schwab||wage and hour violation||2014||private lawsuit-federal||$3,800,000|
|Charles Schwab & Co., Inc.||investor protection violation||2018||SEC||$2,800,000|
|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|