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 |
|---|---|---|---|---|---|---|---|---|
| Michael Jeffries Moore | 7462891 | 1 | 03/11/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Cody Daeges | 7374649 | 1 | 02/27/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kristy Nicole Hollings | 6121904 | 14 | 02/26/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Mele Lupe Vete | 7336032 | 2 | 02/24/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Quentin Xavier Sampson | 5866598 | 3 | 02/22/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Austin Burton | 7707299 | 1 | 02/11/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Quentin Xavier Sampson | 5866598 | 3 | 02/10/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kristy Leigh Sullivan | 5467609 | 2 | 02/08/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Malcolm Pruitt | 7723209 | 1 | 02/01/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Lee Marcotte | 7043645 | 3 | 01/20/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |