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 |
|---|---|---|---|---|---|---|---|---|
| Nicholas James Simmons | 6391319 | 6 | 02/25/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Richard Bruzzone | 7466238 | 1 | 02/24/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Cindy Kay Slowik | 3028715 | 10 | 02/15/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Zachary W Bates | 7049801 | 1 | 02/14/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Dylan Reid Brewer | 7667289 | 1 | 02/05/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Tyler S Dyson | 7140991 | 3 | 02/01/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Dustin Neal Witmer | 7314440 | 1 | 02/01/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Gary E Liswood | 6551044 | 2 | 02/01/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ella Yuryevna Ivanova | 6897239 | 11 | 01/29/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ella Yuryevna Ivanova | 6897239 | 11 | 01/29/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |