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 |
|---|---|---|---|---|---|---|---|---|
| Patrick Thomas Whitley | 2153541 | 1 | 11/07/2023 | Customer Dispute | Closed-No Action | $49,564.70 | $0.00 | See FINRA Report |
| Michael Carlton Smith | 3071327 | 1 | 11/07/2023 | Customer Dispute | Closed-No Action | $49,564.70 | $0.00 | See FINRA Report |
| Karen Stacey Podwyszynski | 5018253 | 1 | 07/05/2023 | Customer Dispute | Closed-No Action | $65,000.00 | $0.00 | See FINRA Report |
| Shannon Michael Peace | 4055663 | 2 | 04/28/2022 | Customer Dispute | Closed-No Action | $23,000.00 | $0.00 | See FINRA Report |
| Jayme Ann Cross | 2738842 | 1 | 09/15/2021 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Craig K Thompson | 2342511 | 1 | 01/25/2021 | Customer Dispute | Closed-No Action | $413,446.00 | $0.00 | See FINRA Report |
| Patricia J Holdman | 5089863 | 1 | 04/20/2020 | Customer Dispute | Closed-No Action | $500,000.00 | $0.00 | See FINRA Report |
| Thomas Clark Williamson | 5562323 | 1 | 04/07/2020 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Matthew K Panke | 2227976 | 2 | 03/26/2020 | Customer Dispute | Closed-No Action | $60,000.00 | $0.00 | See FINRA Report |
| Dean Joseph Huwe | 2384929 | 1 | 01/30/2018 | Customer Dispute | Closed-No Action | $14,500.00 | $0.00 | See FINRA Report |