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 |
|---|---|---|---|---|---|---|---|---|
| Quentin Xavier Sampson | 5866598 | 3 | 02/22/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Austin Burton | 7707299 | 1 | 02/11/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Quentin Xavier Sampson | 5866598 | 3 | 02/10/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kristy Leigh Sullivan | 5467609 | 2 | 02/08/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Malcolm Pruitt | 7723209 | 1 | 02/01/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Lee Marcotte | 7043645 | 3 | 01/20/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Dana Stojkovic Sheridan | 7222403 | 1 | 01/07/2021 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Jose Carlos Soto | 7689124 | 1 | 12/31/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kristina Marie Lopez | 6528298 | 5 | 12/29/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Antony Lawrence Stern | 7339962 | 1 | 12/22/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |