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 |
|---|---|---|---|---|---|---|---|---|
| Joseph Edward McKissack | 4382017 | 1 | 03/15/2004 | Customer Dispute | Award / Judgment | $605.31 | $722.31 | See FINRA Report |
| Kathy Ann Borkovec | 1867575 | 2 | 03/01/2004 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jesus Armando Rodriguez | 6889080 | 1 | 03/01/2004 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John Christopher Novak | 4060505 | 1 | 02/20/2004 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Samuel Than Myint | 6662412 | 2 | 02/16/2004 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Andrew T Gordon | 6801728 | 2 | 02/13/2004 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Johnna Erin Malik | 2863285 | 4 | 02/12/2004 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jan James Schiedel | 1944868 | 2 | 01/13/2004 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Heather B Renshaw | 4313344 | 1 | 12/29/2003 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Judd W Wagner | 2654857 | 1 | 12/16/2003 | Customer Dispute | Denied | $23,424.20 | $0.00 | See FINRA Report |