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 |
|---|---|---|---|---|---|---|---|---|
| Justin N Riege | 6913211 | 1 | 06/12/2014 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Crozier McCleery | 6705810 | 1 | 05/15/2014 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Kevin Edward Spellman | 6705127 | 1 | 04/05/2014 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Glen Ross Fields | 7400976 | 1 | 03/27/2014 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Benjamin Daniel McDevitt | 6952510 | 1 | 03/13/2014 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Kimberly N Pozo | 7228146 | 1 | 02/10/2014 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Rosalinda Aleman Tran | 4268403 | 1 | 01/22/2014 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Brandon M Hardman | 7361265 | 1 | 01/14/2014 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Taylor Mae Davenport | 7297021 | 1 | 12/24/2013 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jason Barq Johnson | 7301053 | 1 | 12/19/2013 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |