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 |
|---|---|---|---|---|---|---|---|---|
| Matthew Cole McConnell | 2804831 | 1 | 02/01/1997 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Sheldon Johnette | 5969163 | 1 | 11/19/1996 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Shannon Stacy Betts | 6851406 | 2 | 10/01/1996 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Steven Douglas Tommasulo | 7293394 | 1 | 06/13/1996 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Gregory P Murray | 3191871 | 2 | 01/29/1996 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Kevin Lee Bush | 5107580 | 1 | 01/22/1996 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Larry Wilkins Chappell | 3074614 | 1 | 01/04/1996 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Steven Robert Herbst | 2577565 | 1 | 12/16/1995 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Todd Randall Doyle | 6877658 | 1 | 12/09/1995 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Eric David Swanson | 2630143 | 1 | 11/22/1995 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |