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 |
|---|---|---|---|---|---|---|---|---|
| Aaron Scott Harvey | 5119744 | 1 | 07/31/2017 | Customer Dispute | Closed-No Action | $42,000.00 | $0.00 | See FINRA Report |
| James Alfred Corey | 2225734 | 2 | 03/29/2017 | Customer Dispute | Closed-No Action | $200,000.00 | $0.00 | See FINRA Report |
| Sean J Smith | 2874143 | 3 | 03/24/2017 | Customer Dispute | Closed-No Action | $200,000.00 | $0.00 | See FINRA Report |
| Melanie Deanne Vise | 2990618 | 1 | 03/24/2017 | Customer Dispute | Closed-No Action | $200,000.00 | $0.00 | See FINRA Report |
| Tara Jane Smith | 3168252 | 1 | 03/08/2017 | Customer Dispute | Closed-No Action | $6,047.00 | $0.00 | See FINRA Report |
| Matthew H Tepoorten | 4161780 | 1 | 12/05/2016 | Customer Dispute | Closed-No Action | $69,000.00 | $0.00 | See FINRA Report |
| Matthew Grant Gehring | 4814336 | 1 | 12/05/2016 | Customer Dispute | Closed-No Action | $69,000.00 | $0.00 | See FINRA Report |
| Floyd Joseph Wisdom | 2140914 | 3 | 10/10/2016 | Customer Dispute | Closed-No Action | $16,000.00 | $0.00 | See FINRA Report |
| Jessica Lynette Starkloff | 6214479 | 1 | 05/12/2016 | Customer Dispute | Closed-No Action | $65,000.00 | $0.00 | See FINRA Report |
| Dipa Desai | 5130935 | 1 | 08/25/2015 | Customer Dispute | Closed-No Action | $50,000.00 | $0.00 | See FINRA Report |