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 |
|---|---|---|---|---|---|---|---|---|
| Christopher L Duncan | 4226767 | 3 | 06/17/2008 | Customer Dispute | Settled | $15,000.00 | $0.00 | See FINRA Report |
| Rory Jay Laczkowski | 4131667 | 1 | 06/16/2008 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Andrew J Battles | 2992881 | 4 | 06/11/2008 | Customer Dispute | Settled | $16,359.20 | $0.00 | See FINRA Report |
| Jeffrey Davin Shields | 2690251 | 1 | 06/10/2008 | Customer Dispute | Settled | $38,000.00 | $0.00 | See FINRA Report |
| Gerald Matthew Cloney | 2317052 | 5 | 06/09/2008 | Customer Dispute | Settled | $47,747.00 | $0.00 | See FINRA Report |
| Peter James Kalafa | 1737699 | 1 | 06/06/2008 | Customer Dispute | Settled | $1,500,000.00 | $0.00 | See FINRA Report |
| Brad Lee Bradley | 2392104 | 1 | 06/03/2008 | Customer Dispute | Settled | $28,000.00 | $0.00 | See FINRA Report |
| Christopher Shawn Elmore | 4718239 | 2 | 06/03/2008 | Customer Dispute | Settled | $28,000.00 | $0.00 | See FINRA Report |
| Bruce Goldman | 1467186 | 7 | 06/02/2008 | Customer Dispute | Settled | $20,000.00 | $0.00 | See FINRA Report |
| Andrew J Battles | 2992881 | 4 | 05/21/2008 | Customer Dispute | Settled | $18,734.30 | $0.00 | See FINRA Report |