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 |
|---|---|---|---|---|---|---|---|---|
| Gary E Liswood | 6551044 | 2 | 08/20/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Brian Douglas Roland | 5971396 | 5 | 08/02/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Benjamin Nevin Tod | 6846283 | 1 | 07/29/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Kelly Lee Olson Woldt | 5454565 | 1 | 07/15/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Derek Ryan Guzman | 6657199 | 1 | 04/21/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| James C Stebner | 2068897 | 6 | 10/22/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Brian Douglas Roland | 5971396 | 5 | 09/30/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Andrew Ozolnieks | 2184288 | 2 | 05/07/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Shawn D Keller | 6921548 | 1 | 01/15/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Derick Eugene Caldwell | 6971797 | 1 | 12/03/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |