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 |
|---|---|---|---|---|---|---|---|---|
| Bradley A Herx | 3231739 | 2 | 09/16/2008 | Customer Dispute | Settled | $122,831.00 | $0.00 | See FINRA Report |
| Xiaobing Guan | 3277412 | 2 | 09/12/2008 | Customer Dispute | Settled | $25,076.00 | $0.00 | See FINRA Report |
| Sean J Smith | 2874143 | 3 | 09/09/2008 | Customer Dispute | Settled | $21,000.00 | $0.00 | See FINRA Report |
| Kil Ung Chang | 3029003 | 3 | 09/09/2008 | Customer Dispute | Settled | $50,109.20 | $0.00 | See FINRA Report |
| Richard Dunn | 2003226 | 5 | 08/25/2008 | Customer Dispute | Settled | $140,000.00 | $0.00 | See FINRA Report |
| Chad Andrew Jones | 2925133 | 1 | 08/12/2008 | Customer Dispute | Settled | $15,264.00 | $0.00 | See FINRA Report |
| Gregory Donald Perkin | 3127791 | 2 | 08/11/2008 | Customer Dispute | Settled | $120,000.00 | $0.00 | See FINRA Report |
| Thomas Gerard Franz | 1967300 | 1 | 08/11/2008 | Customer Dispute | Settled | $225,000.00 | $0.00 | See FINRA Report |
| Gerald Matthew Cloney | 2317052 | 5 | 08/06/2008 | Customer Dispute | Settled | $30,000.00 | $0.00 | See FINRA Report |
| Christiaan Robbin Cuevas-Andrews | 2969617 | 3 | 07/29/2008 | Customer Dispute | Settled | $39,128.70 | $0.00 | See FINRA Report |