Charles Schwab & Company Inc.

01/11/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT No. 2008012876902 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Charles Schwab & Company, Inc., Respondent CRD No. 5393 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Charles Schwab & Company, Inc. submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted

Reference 2008012876902data-portal.finra.orgfinra.org

01/11/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT No. 2008012876902 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Charles Schwab & Company, Inc., Respondent CRD No. 5393 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Charles Schwab & Company, Inc. submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted

Reference 2008012816902data-portal.finra.orgfinra.org

02/01/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Charles Schwab & Company, Inc. (CRD No. 5393), Respondent. DISCIPLINARY PROCEEDING No.2011029760201 COMPLAINT AND REQUEST FOR EXPEDITED HEARING The Department of Enforcement alleges: SUMMARY 1. In October 2011, Charles Schwab & Company, Inc. ("Schwab") amended its customer Account Agreement to include a Waiver of Class Action or Representative Action

04/24/2014: BEFORE THE BOARD OF GOVERNORS FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Charles Schwab & Company, Inc. San Francisco, CA, Respondent. DECISION Complaint No. 2011029760201 Dated: April 24, 2014 Respondent inserted provisions in predispute arbitration agreements that prevented customers from bringing or participating in judicial class actions and FINRA arbitrators from consolidating more than one party's claims. Held, findings affirmed in part and

Reference 2011029760201data-portal.finra.orgdata-portal.finra.orgfinra.org

04/24/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2011029760202 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Charles Schwab & Company, Inc. Broker-Dealer CRD No. 5393 Charles Schwab & Company, Inc. ("Schwab") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing the settlement described below. I. A. Schwab acknowledges that the FINRA

Reference 2011029760202data-portal.finra.orgfinra.org