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 |
|---|---|---|---|---|---|---|---|---|
| Michael Ray Anders | 5240015 | 1 | 01/09/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Bud Chrystopher Mutum | 7274867 | 1 | 10/22/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Cassandra Joan McPherson | 6598556 | 3 | 08/28/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Rodney Silas Gillespie | 3126067 | 6 | 07/11/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Isaac Damien Cowen | 7027120 | 1 | 06/18/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Joel Sampson Dunn | 5226265 | 2 | 06/12/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Joel Sampson Dunn | 5226265 | 2 | 02/01/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Nathan Sharpe | 7702655 | 1 | 11/05/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Shahab A Khan | 2314280 | 3 | 09/16/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Byron T Williams | 7304509 | 1 | 06/23/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |