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 |
|---|---|---|---|---|---|---|---|---|
| Travis John Borton | 4864539 | 1 | 03/17/2015 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Jeffany Ping Tan | 4722782 | 1 | 04/28/2014 | Customer Dispute | Settled | $597,507.00 | $0.00 | See FINRA Report |
| Daniel Charles Stanush | 5950050 | 1 | 03/03/2014 | Customer Dispute | Settled | $18,169.00 | $0.00 | See FINRA Report |
| Patrick James Phinney | 2584177 | 3 | 12/13/2013 | Customer Dispute | Settled | $21,615.00 | $0.00 | See FINRA Report |
| Marshall Scott Owens | 6122699 | 1 | 12/11/2013 | Customer Dispute | Settled | $17,500.00 | $0.00 | See FINRA Report |
| Joseph T Buckingham | 4185330 | 2 | 08/19/2013 | Customer Dispute | Settled | $11,409.60 | $0.00 | See FINRA Report |
| Bryan William Momsen | 2619862 | 1 | 08/01/2013 | Customer Dispute | Settled | $74,000.00 | $0.00 | See FINRA Report |
| Gregory Allen Vasquez | 3240322 | 1 | 07/16/2013 | Customer Dispute | Settled | $42,000.00 | $0.00 | See FINRA Report |
| Kendrick Paul Perry | 2693197 | 1 | 06/27/2013 | Customer Dispute | Settled | $52,000.00 | $0.00 | See FINRA Report |
| Robert James Kirk | 2284950 | 1 | 06/25/2013 | Customer Dispute | Settled | $25,000.00 | $0.00 | See FINRA Report |