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 |
|---|---|---|---|---|---|---|---|---|
| Yaretzi Fargas | 7835671 | 1 | 08/02/2010 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John B Casper | 6687587 | 1 | 08/01/2010 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Travis Gerald Raml | 7027122 | 1 | 07/02/2010 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Alexander Philip Ruden | 7294576 | 1 | 05/20/2010 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John B Samartine | 5797818 | 1 | 04/25/2010 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Danielle Renee Moody | 7411698 | 1 | 03/31/2010 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Cristal Zarahi Flores | 7385824 | 1 | 03/15/2010 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jacqueline Li | 6879806 | 1 | 02/26/2010 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Steven James Wawak | 7382195 | 1 | 01/18/2010 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jeffrey D Tinnean | 6794589 | 1 | 12/15/2009 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |