Patents by Inventor Rosemarie Scafa

Rosemarie Scafa has filed for patents to protect the following inventions. This listing includes patent applications that are pending as well as patents that have already been granted by the United States Patent and Trademark Office (USPTO).

  • System and method for automated documentation for solicited trades
    Patent number: 8027896
    Abstract: A system and method are provided that allow for automated documentation of all advice interactions between broker representatives on one end and clients, or prospective clients, on the other. This is accomplished by providing a computer system for storing appropriate data for each advice interaction with a client. The advice interaction data can be used to assess compliance with existing regulations, as well as for analytical and training purposes.
    Type: Grant
    Filed: May 8, 2008
    Date of Patent: September 27, 2011
    Assignee: Charles & Schwab & Co., Inc.
    Inventors: Rachel Perkel, Rosemarie Scafa
  • SYSTEM AND METHOD FOR AUTOMATED DOCUMENTATION FOR SOLICITED TRADES
    Publication number: 20080208968
    Abstract: A system and method are provided that allow for automated documentation of all advice interactions between broker representatives on one end and clients, or prospective clients, on the other. This is accomplished by providing a computer system for storing appropriate data for each advice interaction with a client. The advice interaction data can be used to assess compliance with existing regulations, as well as for analytical and training purposes.
    Type: Application
    Filed: May 8, 2008
    Publication date: August 28, 2008
    Inventors: Rachel Perkel, Rosemarie Scafa
  • System and method for automated documentation for solicited trades
    Patent number: 7389257
    Abstract: A system and method are provided that allow for automated documentation of all advice interactions between broker representatives on one end and clients, or prospective clients, on the other. This is accomplished by providing a computer system for storing appropriate data for each advice interaction with a client. The advice interaction data can be used to assess compliance with existing regulations, as well as for analytical and training purposes.
    Type: Grant
    Filed: June 8, 2001
    Date of Patent: June 17, 2008
    Assignee: Charles Schwab & Co., Inc.
    Inventors: Rachel Perkel, Rosemarie Scafa
  • System and method for automated documentation for solicited trades
    Publication number: 20020062273
    Abstract: A system and method are provided that allow for automated documentation of all advice interactions between broker representatives on one end and clients, or prospective clients, on the other. This is accomplished by providing a computer system for storing appropriate data for each advice interaction with a client. The advice interaction data can be used to assess compliance with existing regulations, as well as for analytical and training purposes.
    Type: Application
    Filed: June 8, 2001
    Publication date: May 23, 2002
    Inventors: Rachel Perkel, Rosemarie Scafa