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 |
|---|---|---|---|---|---|---|---|---|
| John Edward Cavanaugh | 3020696 | 1 | 06/25/2013 | Customer Dispute | Settled | $25,000.00 | $0.00 | See FINRA Report |
| Leslie Carolyn Killgore | 1793551 | 1 | 03/26/2013 | Customer Dispute | Settled | $18,200.90 | $0.00 | See FINRA Report |
| Richard Brent Fitzgerald | 2437244 | 4 | 03/13/2013 | Customer Dispute | Settled | $175,000.00 | $0.00 | See FINRA Report |
| Benjamin Bantug Almeda | 4804925 | 2 | 07/19/2012 | Customer Dispute | Settled | $8,252.00 | $0.00 | See FINRA Report |
| Neil A Wentworth | 1264915 | 2 | 07/02/2012 | Customer Dispute | Settled | $800,000.00 | $0.00 | See FINRA Report |
| Sam Richard MacAluso | 720381 | 1 | 01/27/2012 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Halbert Charles Swanson | 1685559 | 1 | 11/28/2011 | Customer Dispute | Settled | $90,000.00 | $0.00 | See FINRA Report |
| Jason M Williams | 4077556 | 1 | 08/25/2011 | Customer Dispute | Settled | $18,683.90 | $0.00 | See FINRA Report |
| Angeline V Krylo | 4891307 | 1 | 08/16/2011 | Customer Dispute | Settled | $8,358.02 | $0.00 | See FINRA Report |
| Erik J Gaucher | 2231883 | 1 | 05/31/2011 | Customer Dispute | Settled | $125,000.00 | $0.00 | See FINRA Report |