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 |
|---|---|---|---|---|---|---|---|---|
| Paul Delahoussaye Dunk | 3222499 | 1 | 09/20/2021 | Customer Dispute | Pending | $5,000,000.00 | $0.00 | See FINRA Report |
| Abhishek Dhage | 7724122 | 2 | 08/23/2021 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Quentin Xavier Sampson | 5866598 | 3 | 07/06/2021 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Christopher Trey Strickland | 7478008 | 3 | 03/31/2021 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Dana Stojkovic Sheridan | 7222403 | 1 | 01/07/2021 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Lee Marcotte | 7043645 | 3 | 05/29/2020 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Shannon Bree Green | 6901378 | 1 | 12/10/2019 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Michael David Gottehrer | 5244317 | 1 | 10/24/2019 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Charles Michael Harris | 2363258 | 1 | 04/27/2001 | Customer Dispute | Pending | $2,500,000.00 | $0.00 | See FINRA Report |
| Jesus Manuel Garza | 1699995 | 1 | 04/02/2000 | Customer Dispute | Pending | $10,000.00 | $0.00 | See FINRA Report |