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 |
|---|---|---|---|---|---|---|---|---|
| Tara O Johnson | 4227112 | 3 | 04/30/2008 | Customer Dispute | Settled | $65,000.00 | $0.00 | See FINRA Report |
| Brian Robert Montgomery | 3262173 | 1 | 04/23/2008 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Patrick J Walstad | 3116332 | 2 | 04/19/2008 | Customer Dispute | Settled | $16,000.00 | $0.00 | See FINRA Report |
| Stuart O Bates | 1638901 | 3 | 04/18/2008 | Customer Dispute | Settled | $236,966.00 | $0.00 | See FINRA Report |
| David R Ortman | 4006494 | 2 | 04/15/2008 | Customer Dispute | Settled | $184,458.00 | $0.00 | See FINRA Report |
| Joseph C Lacagnina | 1855219 | 1 | 04/15/2008 | Customer Dispute | Settled | $124,000.00 | $0.00 | See FINRA Report |
| Robert Edward Lewandowski | 2034871 | 2 | 04/14/2008 | Customer Dispute | Settled | $30,000.00 | $0.00 | See FINRA Report |
| Mark Bradford Hersman | 1843075 | 3 | 04/14/2008 | Customer Dispute | Settled | $34,741.60 | $0.00 | See FINRA Report |
| Kevin Scott Boriack | 2071567 | 1 | 04/11/2008 | Customer Dispute | Settled | $21,000.00 | $0.00 | See FINRA Report |
| Andrew J Battles | 2992881 | 4 | 04/10/2008 | Customer Dispute | Settled | $27,000.00 | $0.00 | See FINRA Report |