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 |
|---|---|---|---|---|---|---|---|---|
| Mark-Vincent Castro Morales | 4441033 | 6 | 01/30/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Mark-Vincent Castro Morales | 4441033 | 6 | 01/23/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Sarah Jean Drumm | 7339698 | 1 | 01/23/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Stephanie Tevayne Cordero | 7024219 | 2 | 01/15/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| April Jennifer Paniagua | 7021054 | 2 | 01/09/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Myra Elaine Lieb | 6065033 | 1 | 01/01/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Lauren M Wheeles | 5501793 | 1 | 12/23/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Derek Whitehill | 5129021 | 1 | 12/20/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Grant Taylor Styers | 6732079 | 4 | 12/16/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Yolanda Marsia Abraham | 7074426 | 1 | 11/28/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |