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 |
|---|---|---|---|---|---|---|---|---|
| Jeffrey Edward Gong | 6136817 | 1 | 11/05/2020 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Holley Marie Travelstead-Ringkamp | 1939665 | 2 | 11/03/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Noah Malachi Jackson | 6478794 | 1 | 11/02/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jonathon B Wenzel | 6360082 | 3 | 11/01/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jason M Barba | 5839690 | 3 | 11/01/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Holley Marie Travelstead-Ringkamp | 1939665 | 2 | 11/01/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Alejandro Octavio Rodriguez | 6549929 | 1 | 10/30/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Anthony Thomas Spinnichia | 7833506 | 1 | 10/30/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Frederick Allen Williams | 2942084 | 9 | 10/19/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Samantha Jo Jarvey | 5899208 | 1 | 10/16/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |