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 |
|---|---|---|---|---|---|---|---|---|
| Andrew Ozolnieks | 2184288 | 2 | 12/15/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jenny Ranee Goodall | 7274137 | 1 | 12/06/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| John Parker Rhodes | 1570758 | 2 | 06/28/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| John Parker Rhodes | 1570758 | 2 | 06/28/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Yuceli Andrea Guerra | 7671819 | 3 | 03/28/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Brian Douglas Roland | 5971396 | 5 | 02/04/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Charles Williamson | 2691706 | 1 | 01/26/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Andre Christopher Uribe | 7819723 | 1 | 12/17/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Matthew Parker Flanigan | 7508587 | 1 | 11/04/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Christopher Jordan Furo | 5432501 | 2 | 09/10/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |