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Jan 23, 2017

Charles Schwab Sued Over Own 401(k) Plan

By |January 23rd, 2017|401(k), Fiduciary Duties, Legal Matters, Press Releases & News|

A participant in the Charles Schwab Corp. 401(k) plan has sued the plan and corporate executives, claiming they violated their duties under the Employee Retirement Income Security Act (ERISA) by offering Schwab funds that were “more expensive than comparable alternatives available in the marketplace.” The suit was filed in United States District Court in [...]

Jan 16, 2017

Richard Gearhart & George McKown Charged With Securities Fraud

By |January 16th, 2017|401(k), Conspiracy, Fraud, Misrepresentation and Fraud, Ponzi Scheme, Press Releases & News, SEC, Securities Law Violations, Unregistered broker dealer, Variable Annuity|

Richard Gearhart of Lowell, Indiana and George McKown of Indianapolis, Indiana have been indicted on fraud charges after prosecutors claim they sold securities to investors despite not being registered to do so. The two were charged with conspiracy to commit securities fraud, securities fraud, and wire fraud, said U.S. Attorney David Capp. According [...]

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