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 |
|---|---|---|---|---|---|---|---|---|
| Sean Michael Milligan | 6307391 | 1 | 12/07/2004 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michelle Lynn Jones | 6940491 | 1 | 12/03/2004 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| William Brandt Wise | 3038846 | 1 | 11/05/2004 | Customer Dispute | Closed-No Action | $5,500.00 | $0.00 | See FINRA Report |
| Asad Ali | 5428258 | 1 | 10/24/2004 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jason Gregory Pence | 4473386 | 2 | 10/19/2004 | Customer Dispute | Denied | $5,900.00 | $0.00 | See FINRA Report |
| Stephen Craig Kucharski | 3063476 | 2 | 09/17/2004 | Customer Dispute | Denied | $9,088.26 | $0.00 | See FINRA Report |
| Eric Jensen | 7341922 | 1 | 09/16/2004 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Franklin Weber | 5461638 | 1 | 08/30/2004 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jennifer Lynn Mangum | 4626391 | 1 | 08/26/2004 | Customer Dispute | Denied | $24,018.00 | $0.00 | See FINRA Report |
| Katherine Lynn Sullivan | 5825881 | 1 | 07/15/2004 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |