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 |
|---|---|---|---|---|---|---|---|---|
| David R Ninekirk | 2242802 | 2 | 09/11/2002 | Customer Dispute | Denied | $12,500.00 | $0.00 | See FINRA Report |
| Ernesto Escamilla | 7283188 | 1 | 09/10/2002 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Tara O Johnson | 4227112 | 3 | 09/05/2002 | Customer Dispute | Closed-No Action | $200,000.00 | $0.00 | See FINRA Report |
| Robert Keith Frost | 5416337 | 1 | 08/31/2002 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Robert Harold Brown | 1620805 | 2 | 08/13/2002 | Customer Dispute | Denied | $80,000.00 | $0.00 | See FINRA Report |
| Mark Edison Lignugaris | 6581787 | 1 | 07/27/2002 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Cynthia Silva Martin | 3231200 | 1 | 07/26/2002 | Customer Dispute | Denied | $33,000.00 | $0.00 | See FINRA Report |
| Ira A Nitzkin | 1136040 | 3 | 07/11/2002 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Susan Lynn Gonzalez | 2839505 | 1 | 06/21/2002 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Richard Lee Malmberg | 2798629 | 1 | 06/20/2002 | Customer Dispute | Settled | $23,549.10 | $0.00 | See FINRA Report |