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 |
|---|---|---|---|---|---|---|---|---|
| Paula Andrea Morales Lopez | 7443457 | 8 | 09/22/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Paula Andrea Morales Lopez | 7443457 | 8 | 09/22/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Nicholas James Simmons | 6391319 | 6 | 09/21/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Joshua Christopher Perras | 7403101 | 2 | 09/18/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jonathon B Wenzel | 6360082 | 3 | 09/01/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jonathan Mouavangsou | 7388084 | 1 | 08/25/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Shea Victoria Ferrara | 7221184 | 1 | 08/21/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Spencer Barrett Morton | 6904766 | 1 | 08/19/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Katherine Anne Maxwell | 7533768 | 1 | 07/23/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kristy Leigh Sullivan | 5467609 | 2 | 07/15/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |