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 |
|---|---|---|---|---|---|---|---|---|
| Kathleen Naomi McElwain | 7045502 | 1 | 04/04/2011 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jean-Francois Turner | 4624869 | 1 | 04/01/2011 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Brianna K Chalek | 6711329 | 1 | 03/11/2011 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Heidi Lynn Ebbert | 5882760 | 1 | 02/27/2011 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Keith Michael Joachimstaler | 6706834 | 1 | 02/01/2011 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Miles | 6734873 | 1 | 01/14/2011 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Natasha Harkins-Dube | 6935993 | 1 | 01/07/2011 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Benjamin Lucas Buck | 7228088 | 1 | 01/04/2011 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Anthony Posner | 4378388 | 1 | 01/01/2011 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Herman Dwayne Walker | 7032829 | 2 | 11/17/2010 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |