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 |
|---|---|---|---|---|---|---|---|---|
| Kevin Paluilis | 6824397 | 1 | 04/17/2009 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jerry Eugene Mattler | 6865299 | 2 | 03/10/2009 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Anthony Marcus Sutton | 6898137 | 1 | 01/08/2009 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Herman Dwayne Walker | 7032829 | 2 | 01/08/2009 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Ken Eugene Nefflen | 4679191 | 1 | 11/01/2008 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Matthew Hamilton | 6051420 | 1 | 10/16/2008 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Session Blain Rainwater | 5971375 | 2 | 09/19/2008 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Benjamin Anthony Pasquine | 6458593 | 1 | 09/14/2008 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Raquel Alexis Gonzalez | 6627867 | 1 | 07/20/2008 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Summer Bethune | 7205530 | 3 | 07/14/2008 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |