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FINRA Broker Disclosures for Charles Schwab & Co., Inc.

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.

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Displaying 1,611-1,620 out of 1,859 results
Name CRD Total Disclosures Filing Date Disclosure Type Disclosure Status Damages Requested Damages Granted FINRA Reports
Charles Floyd Debok6304871105/25/2004CriminalFinal Disposition$0.00$0.00See FINRA Report
Ilian Li4557972105/21/2004Customer DisputeDenied$10,425.90$0.00See FINRA Report
Brian Christopher Cohrt5200114105/18/2004CriminalFinal Disposition$0.00$0.00See FINRA Report
Darin Eugene Bostic3021412204/30/2004Customer DisputeDenied$16,654.30$0.00See FINRA Report
Johnna Erin Malik2863285404/14/2004Judgment / Lien$0.00$0.00See FINRA Report
John Philip Lancia1910541104/14/2004Customer DisputeSettled$161,612.00$0.00See FINRA Report
Samuel Keith Shreve6612728104/11/2004CriminalFinal Disposition$0.00$0.00See FINRA Report
David Milan Pazourek2436988104/08/2004Customer DisputeDenied$200,000.00$0.00See FINRA Report
Joseph Mark Estorga4632301104/05/2004CriminalFinal Disposition$0.00$0.00See FINRA Report
John Todd Stempfle6589532103/24/2004CriminalFinal Disposition$0.00$0.00See FINRA Report

1,859 Results

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