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 |
|---|---|---|---|---|---|---|---|---|
| Austin Michael Tompkins | 7298520 | 2 | 10/01/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Stephanie A Martinez | 6678290 | 4 | 09/30/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| James C Stebner | 2068897 | 6 | 09/23/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Christine Lynn Baker | 5944680 | 3 | 09/18/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Daniel Spencer Montague | 4747488 | 3 | 09/15/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michelle M Cox | 4138577 | 1 | 09/14/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jennifer C Peterson | 7291306 | 1 | 09/14/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jonathan E Shaner | 2978263 | 1 | 09/03/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Timothy Barnard | 2060454 | 2 | 09/01/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Tyler Aaron Shafer | 6880039 | 1 | 09/01/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |