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 |
|---|---|---|---|---|---|---|---|---|
| Amy M Durgan | 2909200 | 1 | 06/22/2003 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Rebecca Ryan Melia-Vinderslev | 5427186 | 1 | 06/13/2003 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jason Christopher Gunn | 3274222 | 1 | 06/13/2003 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Juan Carlos Garcia | 7438340 | 2 | 05/28/2003 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Clinton Jeffrey Cowles | 5900488 | 2 | 05/27/2003 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Darren Benjamin Stance | 2605884 | 1 | 05/25/2003 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Carl August Orn | 5529902 | 1 | 04/25/2003 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Christopher Ryan Thompson | 2757578 | 1 | 04/07/2003 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Margaret E Ostendorf | 2498494 | 1 | 02/26/2003 | Customer Dispute | Denied | $600.00 | $0.00 | See FINRA Report |
| James Joseph Sheehan | 2717102 | 3 | 02/18/2003 | Customer Dispute | Denied | $130,000.00 | $0.00 | See FINRA Report |