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 |
|---|---|---|---|---|---|---|---|---|
| Dustin J Durant | 7203476 | 1 | 10/16/2016 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Taylor Lin Davis | 7040784 | 1 | 06/22/2016 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Patrick John Deal | 7342078 | 1 | 05/11/2016 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Clay Joseph Cubbage | 7289463 | 1 | 03/02/2016 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Garrett Douglas Janda | 7283607 | 1 | 02/16/2016 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Waresh Aziz | 7556325 | 1 | 11/06/2015 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Brian Chapman Smith | 3226076 | 1 | 11/04/2015 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Atticus Taylor Richmond | 7189175 | 1 | 11/04/2015 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jonathan Eric Dick | 3275949 | 1 | 10/29/2015 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Alexander James Sweeney | 6754899 | 1 | 09/23/2015 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |