Schwab Sued Again

smalladvisorsunite
Sep 15, 2021
1 min read

Schwab is getting sued again this time a class action coming right after an SEC investigation. All about their latest pick pocket maneuver of generating revenue through cash sweeps. The SEC pulled the cover off and now investors are coming. What will happen next - Schwab will revert back to the visible and transparent way of charging commissions for trades and fees to RIA’s. Then they will do what I have been warning about all along - get rid of small AUM RIA’s.

2 Comments

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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.