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 |
|---|---|---|---|---|---|---|---|---|
| Charles Lejon Gordon | 6379371 | 1 | 10/02/2007 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Taehoon James Kim | 7353430 | 1 | 09/12/2007 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jerrin P Patterson | 3247193 | 1 | 09/08/2007 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Drew Tyler | 7842069 | 1 | 09/02/2007 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Carolyn Cole Smith | 2315731 | 1 | 08/14/2007 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Allan Costigan | 6544993 | 1 | 08/07/2007 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Ian Matthew Johansen | 6584059 | 1 | 07/22/2007 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John Steven Green | 7465227 | 1 | 06/14/2007 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Steven Hinz | 6456157 | 1 | 05/17/2007 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Nathan Nicholas Peterson | 4931919 | 1 | 05/16/2007 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |