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 |
|---|---|---|---|---|---|---|---|---|
| Jeffrey Edward Gong | 6136817 | 1 | 11/05/2020 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Myra Elaine Lieb | 6065033 | 1 | 01/01/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Brian James Boccio | 3001219 | 1 | 07/22/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John Alan Siadak | 6952346 | 1 | 06/01/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Andrew Bradley McClain | 5169074 | 1 | 11/05/2014 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Edward Dale Shupe | 2152986 | 2 | 06/13/2014 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Brent Walter Ure | 6244760 | 1 | 06/13/2014 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Andrew Dominic Sarussi | 5943170 | 1 | 06/26/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Barry Scott Metzger | 4719211 | 1 | 06/07/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Garrett Michael Lupro | 6457878 | 1 | 04/12/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |