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 |
|---|---|---|---|---|---|---|---|---|
| Eric Jensen | 7341922 | 1 | 09/16/2004 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Franklin Weber | 5461638 | 1 | 08/30/2004 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Katherine Lynn Sullivan | 5825881 | 1 | 07/15/2004 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Charles Floyd Debok | 6304871 | 1 | 05/25/2004 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Brian Christopher Cohrt | 5200114 | 1 | 05/18/2004 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Samuel Keith Shreve | 6612728 | 1 | 04/11/2004 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Joseph Mark Estorga | 4632301 | 1 | 04/05/2004 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John Todd Stempfle | 6589532 | 1 | 03/24/2004 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jesus Armando Rodriguez | 6889080 | 1 | 03/01/2004 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John Christopher Novak | 4060505 | 1 | 02/20/2004 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |