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Another Pass?

Disciplined Capital Management, LLC (DCM) were themselves disciplined by the SEC. DCM failed to file and deliver to clients Form CRS. They were fined an censored. DCM used Charles Schwab as there broker dealer custodian. I called and emailed DCM to see if Schwab terminated their contract. They did not respond. DCM had nearly $500M under management.


The noose is loose when you have AUM. When your AUM is low - if you snooze you lose!

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SEC fines Schwab $187M

This company is despicable. Parades around on a white horse as the protector when in fact they are the destroyer. They have one goal - strip investors bare.

SEC slams Schwab

Read today’s SEC action against Schwab. They were fined $187M for egregious behavior. They lied to their clients. Maybe they should be kicked off their own platform!!!

Stephen Albert Greco

Aka David - just threw a rock at Goliath. He filed a lawsuit against Schwab and others . He used a phrase - “Silencing and Retaliation Scheme”. Schwab is a corporate bully out to destroy small RIA’

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Broker Dealers seem quite casual, if not indifferent, to informing RIA clients that they have terminated the contract with their advisor. Almost like telling a motorist he left his car lights on. Broker Dealers refer to these individuals as account holders, while RIA's refer to them as clients. If you ask a compliance person at a Broker Dealer how the recipients of the notice of termination are likely to "feel" after receiving notice, they will show you that they have not given the matter much thought, and really don't care. 

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