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Securities

Mar. 9, 2012

FINRA fires back at Schwab over class-action waivers

A tussle between the association that regulates the securities markets and San Francisco brokerage Charles Schwab & Co. over Schwab's consumer class-action waivers heated up this week.


By Jill Redhage


Daily Journal Staff Writer


SAN FRANCISCO - A tussle between the association that regulates the securities markets and San Francisco brokerage Charles Schwab & Co. over Schwab's consumer class-action waivers heated up this week, even as Schwab continues to face claims in which the waiver might be triggered.


Schwab has asked a Northern District judge to issue a preliminary injunction barring the Financial Industry Regulat...

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