Violation Tracker UK Parent Company Summary
Parent Company Name: Charles Schwab Corp.
Ownership Structure: publicly traded
Headquartered in: USA
Major Industry: financial services
Specific Industry: financial services
Penalty total since 2010: £8,963,200
Number of cases: 1
|Top Offence Groups (Groups Defined)||Penalty Total||Number of Cases
|Top Offence Types||Penalty Total||Number of Cases
|investor protection violation||£8,963,200||1|
: Parent-subsidiary linkages are based on current relationships and may vary from what was the case when a violation occurred.
: This company's summary page in the U.S. Violation Tracker can be found here
Individual Penalty Cases:
Click on the company or penalty amount for more information on each case.
Download results as
(maximum 1000; for access to larger downloads contact Phil Mattera