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 |
|---|---|---|---|---|---|---|---|---|
| James Edward van Eepoel | 6797994 | 1 | 08/19/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Emily Elizabeth Sorrells | 7261186 | 3 | 08/18/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Emily Elizabeth Sorrells | 7261186 | 3 | 08/04/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jennifer Lynn James | 5186084 | 1 | 08/02/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jason John Enright | 6308194 | 1 | 07/28/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Lloyd Styer | 4957357 | 1 | 06/30/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Craig Patrick Curtis | 2278018 | 1 | 06/23/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Phatsany Pongphachanxay | 5897852 | 2 | 06/15/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Daniel Lee Siffring | 4352840 | 10 | 06/10/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jill Anita Hardenbrook | 6857005 | 5 | 05/18/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |