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 |
|---|---|---|---|---|---|---|---|---|
| Kristy Nicole Hollings | 6121904 | 14 | 07/30/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kristy Nicole Hollings | 6121904 | 14 | 07/30/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kristy Nicole Hollings | 6121904 | 14 | 07/30/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kristy Nicole Hollings | 6121904 | 14 | 07/30/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kristy Nicole Hollings | 6121904 | 14 | 07/30/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Frederick Allen Williams | 2942084 | 9 | 07/18/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Frederick Allen Williams | 2942084 | 9 | 07/16/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Quentin Xavier Sampson | 5866598 | 3 | 07/06/2021 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Michael Anthony Bergeron | 7349459 | 1 | 06/23/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Emily A Bowen | 7409381 | 1 | 06/14/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |