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 |
|---|---|---|---|---|---|---|---|---|
| Arinze Emmanuel Okwuosah | 7218374 | 1 | 12/08/2009 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| David Joseph Redlinger | 6778052 | 6 | 11/09/2009 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Pablo Jesus Garcia | 6719458 | 1 | 11/08/2009 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Allan Tamez | 7708516 | 1 | 10/31/2009 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Thomas Alston Burrell | 6721069 | 1 | 08/21/2009 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Deshawn Heshima | 6030101 | 3 | 08/21/2009 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Mario Sam Pardo | 6444368 | 1 | 07/31/2009 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Deshawn Heshima | 6030101 | 3 | 07/18/2009 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Mark Philip Whelan | 6854817 | 1 | 06/09/2009 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Mark Castillo | 6627860 | 1 | 05/13/2009 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |