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 |
|---|---|---|---|---|---|---|---|---|
| Kristy Nicole Hollings | 6121904 | 14 | 07/30/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Frederick Allen Williams | 2942084 | 9 | 07/18/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Frederick Allen Williams | 2942084 | 9 | 07/16/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Anthony Bergeron | 7349459 | 1 | 06/23/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Emily A Bowen | 7409381 | 1 | 06/14/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Benjamin Wright Watson | 6852422 | 1 | 06/03/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Nathan Roland Layne | 7445579 | 1 | 05/28/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Gina Marie Esswein | 4479342 | 2 | 05/27/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jimmy Garcia | 6116953 | 1 | 05/27/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Sangkung Kassama | 7577201 | 1 | 05/04/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |