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 |
|---|---|---|---|---|---|---|---|---|
| Rodney Silas Gillespie | 3126067 | 6 | 05/22/2009 | Customer Dispute | Settled | $7,325.00 | $0.00 | See FINRA Report |
| Nancy T Murphy | 2723065 | 1 | 04/15/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Lawrence Keith Larson | 2725390 | 1 | 02/19/2009 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Barry Michael O'Shea | 1171475 | 1 | 02/06/2009 | Customer Dispute | Settled | $106,866.00 | $0.00 | See FINRA Report |
| Bruce Goldman | 1467186 | 7 | 01/29/2009 | Customer Dispute | Settled | $30,000.00 | $0.00 | See FINRA Report |
| Richard Brent Fitzgerald | 2437244 | 4 | 01/29/2009 | Customer Dispute | Settled | $30,000.00 | $0.00 | See FINRA Report |
| Jens D Halle | 4624571 | 2 | 01/27/2009 | Customer Dispute | Settled | $27,095.60 | $0.00 | See FINRA Report |
| James Paul Helsel | 2451012 | 2 | 01/23/2009 | Customer Dispute | Settled | $46,335.00 | $0.00 | See FINRA Report |
| Edward Dale Shupe | 2152986 | 2 | 01/21/2009 | Customer Dispute | Settled | $20,437.40 | $0.00 | See FINRA Report |
| Mike Chang | 4028316 | 1 | 12/31/2008 | Customer Dispute | Settled | $12,735.30 | $0.00 | See FINRA Report |