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 |
|---|---|---|---|---|---|---|---|---|
| Brent Walter Ure | 6244760 | 1 | 06/13/2014 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Andrew Dominic Sarussi | 5943170 | 1 | 06/26/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Barry Scott Metzger | 4719211 | 1 | 06/07/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Garrett Michael Lupro | 6457878 | 1 | 04/12/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Tedda Joy Rogers | 2807542 | 1 | 01/03/2013 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Benjamin Johnston Dion | 6486531 | 1 | 01/01/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Antonio Perlain | 4612800 | 1 | 11/10/2011 | Customer Dispute | Final | $100,000.00 | $0.00 | See FINRA Report |
| Thomas James Svenstrup | 1108026 | 2 | 11/18/2010 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Ira A Nitzkin | 1136040 | 3 | 03/25/2010 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Kevin Patrick Gerard | 1849689 | 1 | 06/09/2009 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |