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 |
|---|---|---|---|---|---|---|---|---|
| Benjamin Johnston Dion | 6486531 | 1 | 01/01/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas James Svenstrup | 1108026 | 2 | 11/18/2010 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Ira A Nitzkin | 1136040 | 3 | 03/25/2010 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Kevin Patrick Gerard | 1849689 | 1 | 06/09/2009 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Andrew Elliot Siegel | 7368651 | 2 | 04/13/2009 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jon C Russell | 6642669 | 2 | 01/01/2009 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jan James Schiedel | 1944868 | 2 | 01/13/2004 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Mark Lee Pedersen | 2814317 | 1 | 11/07/2003 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Ira A Nitzkin | 1136040 | 3 | 07/11/2002 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Defilippis | 1241288 | 2 | 03/23/2000 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |