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 |
|---|---|---|---|---|---|---|---|---|
| Bruce Goldman | 1467186 | 7 | 10/07/2009 | Customer Dispute | Settled | $143,048.00 | $0.00 | See FINRA Report |
| Stuart O Bates | 1638901 | 3 | 09/30/2009 | Customer Dispute | Settled | $339,200.00 | $0.00 | See FINRA Report |
| Tom Carl Waite | 2841928 | 2 | 09/24/2009 | Customer Dispute | Settled | $45,000.00 | $0.00 | See FINRA Report |
| Adam Richard Paulsen | 2720089 | 5 | 08/14/2009 | Customer Dispute | Settled | $110,541.00 | $0.00 | See FINRA Report |
| Kil Ung Chang | 3029003 | 3 | 08/11/2009 | Customer Dispute | Settled | $20,946.00 | $0.00 | See FINRA Report |
| Derek G Anthony | 2988107 | 1 | 08/10/2009 | Customer Dispute | Settled | $120,328.00 | $0.00 | See FINRA Report |
| Erick B Ibarra | 3048612 | 1 | 08/10/2009 | Customer Dispute | Settled | $55,083.60 | $0.00 | See FINRA Report |
| Jay L Gentry | 2691675 | 1 | 07/22/2009 | Customer Dispute | Settled | $122,688.00 | $0.00 | See FINRA Report |
| Richard Arthur Munneke | 2868223 | 1 | 07/07/2009 | Customer Dispute | Settled | $533,957.00 | $0.00 | See FINRA Report |
| Bruce Goldman | 1467186 | 7 | 05/29/2009 | Customer Dispute | Settled | $900,000.00 | $0.00 | See FINRA Report |