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 |
|---|---|---|---|---|---|---|---|---|
| Robert Isaac Mims | 6381211 | 3 | 03/06/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Alan David Lintker | 5181897 | 1 | 03/04/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Vanessa Nicole Bowser | 2765720 | 6 | 03/03/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Amber Michelle Rosenthal | 7130906 | 1 | 03/01/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Brian Lee Turbeville | 7218974 | 1 | 02/23/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michele D Barner | 4208130 | 2 | 02/13/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Rodney Evan Browning | 4545965 | 2 | 02/06/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Keith Ketcham | 6240264 | 1 | 02/04/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ryan L Valentine | 2733351 | 1 | 02/01/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Adama Dian Diallo | 6391289 | 1 | 02/01/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |