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 |
|---|---|---|---|---|---|---|---|---|
| Ronald Vornberg | 5613036 | 1 | 11/14/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Alexandria Leann Hochstetler | 6445915 | 1 | 11/10/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Dianne Lee Borgeson | 7221436 | 2 | 11/06/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Nancy K Kahler | 5118534 | 1 | 11/06/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Joy Mary Furmick | 2766104 | 1 | 10/30/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Brennan Roberson | 6092272 | 5 | 10/30/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Sarah M Mwangi | 6143650 | 1 | 10/30/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Denise Perez | 5910682 | 2 | 10/27/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Cindy Kay Slowik | 3028715 | 10 | 10/07/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Christy Conklin Ross | 5985228 | 1 | 10/04/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |