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 |
|---|---|---|---|---|---|---|---|---|
| Oscar O Rosas | 6907646 | 2 | 07/10/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Daniel Lee Siffring | 4352840 | 10 | 07/06/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Edmund Michael Feingold | 7279711 | 1 | 07/05/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Bryan Todd Smith | 2502953 | 3 | 07/01/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Lindsay Singletary Borneman | 6261501 | 2 | 07/01/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Minh Ngo | 2494453 | 6 | 06/30/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Tory Lane Herr | 7582090 | 1 | 06/30/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Mark-Vincent Castro Morales | 4441033 | 6 | 06/29/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Diana Peterson | 7050260 | 2 | 06/28/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ashley Nicole Green | 6802270 | 3 | 06/27/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |