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 |
|---|---|---|---|---|---|---|---|---|
| Jason Gregory Pence | 4473386 | 2 | 06/03/2020 | Customer Dispute | Settled | $11,471.50 | $0.00 | See FINRA Report |
| Richard Sica | 1756940 | 3 | 03/30/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Richard Sica | 1756940 | 3 | 03/25/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Richard Braden Groff | 4177139 | 1 | 03/04/2020 | Customer Dispute | Settled | $25,000.00 | $0.00 | See FINRA Report |
| Jay P Cheney | 5553870 | 2 | 01/17/2020 | Customer Dispute | Settled | $23,000.00 | $0.00 | See FINRA Report |
| Daniel Enrique Cerna | 5668375 | 3 | 07/17/2019 | Customer Dispute | Settled | $76,000.00 | $0.00 | See FINRA Report |
| Michelle J Bartel | 4372259 | 1 | 05/06/2019 | Customer Dispute | Settled | $22,313.40 | $0.00 | See FINRA Report |
| Felix W Cheng | 2115029 | 3 | 04/09/2019 | Customer Dispute | Settled | $6,271.17 | $0.00 | See FINRA Report |
| Raci Yigitbas | 3228278 | 1 | 01/06/2019 | Customer Dispute | Settled | $19,055.30 | $0.00 | See FINRA Report |
| Anthony Pokun Jung | 1789452 | 1 | 12/11/2018 | Customer Dispute | Settled | $35,000.00 | $0.00 | See FINRA Report |