In a case against Charles Schwab & Co., Inc. the customer won a securities arbitration in Hawaii only 10 months after filing his claim. After a three day arbitration conducted in Honolulu the Panel awarded $45,000 to the customer who alleged investment misrepresentation and violations of Hawaii investment law. See Case Number 09-03470.
Charles Schwab has been involved in hundreds of customer arbitrations and over 50 regulatory and civil events. This information is disclosed on FINRA BrokerCheck Report. FINRA provides this information on all member firms and their brokers to protect and inform the investing public.
If you think your financial advisor has mismanaged your investment account call Thomas Law Group at (800) 797-9888 for a no-charge consultation. We work on a contingency fee for investors so if we don’t win you don’t pay attorney’s fees. Our team of lawyers, experts and paralegals has decades of experience helping customers win their cases.