Our Staff has compiled our research into a database of FINRA Broker Disclosures for Charles Schwab & Co., Inc.. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Tara Nelsen | 4362636 | 1 | 01/16/2019 | Customer Dispute | Award / Judgment | $1,600,000.00 | $54,680.00 | See FINRA Report |
| Emil Aldaddah | 5875696 | 1 | 07/29/2015 | Customer Dispute | Award / Judgment | $9,910.50 | $0.00 | See FINRA Report |
| Bruce Daniel Broughton | 2623137 | 1 | 04/04/2011 | Customer Dispute | Award / Judgment | $0.00 | $0.00 | See FINRA Report |
| Jason Michael Babcock | 3194878 | 1 | 09/03/2010 | Customer Dispute | Award / Judgment | $25,000.00 | $0.00 | See FINRA Report |
| David B Woodward | 4993520 | 1 | 09/28/2009 | Customer Dispute | Award / Judgment | $13,000.00 | $11,567.60 | See FINRA Report |
| Jennifer Anne Johnston | 2413808 | 1 | 04/22/2009 | Customer Dispute | Award / Judgment | $25,000.00 | $5,500.00 | See FINRA Report |
| Patrick James Rowley | 5227314 | 1 | 09/05/2008 | Customer Dispute | Award / Judgment | $1,757.29 | $1,757.29 | See FINRA Report |
| Ronald Scott Endsley | 1311406 | 1 | 06/15/2005 | Customer Dispute | Award / Judgment | $259,452.00 | $50,000.00 | See FINRA Report |
| Joseph Edward McKissack | 4382017 | 1 | 03/15/2004 | Customer Dispute | Award / Judgment | $605.31 | $722.31 | See FINRA Report |
| Tracey L Lehmer | 2830056 | 1 | 10/22/1999 | Customer Dispute | Award / Judgment | $55,626.00 | $0.00 | See FINRA Report |