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 |
|---|---|---|---|---|---|---|---|---|
| Samuel Than Myint | 6662412 | 2 | 09/13/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Stacie Marie Copple | 7498853 | 1 | 08/17/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| David Leon Shelly | 2355957 | 2 | 08/10/1999 | Customer Dispute | Settled | $9,800.00 | $0.00 | See FINRA Report |
| Marcelino A Paez | 3169952 | 1 | 08/06/1999 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Rita Lynn Harris | 3242736 | 1 | 07/20/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Lee Robert Gorgas | 6855212 | 1 | 07/12/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Cicely R Jaubert-Thompson | 6520620 | 1 | 06/29/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Jay Magee | 2657136 | 2 | 06/06/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Vincent Patrick Gugliemini | 1855750 | 1 | 04/20/1999 | Customer Dispute | Settled | $16,000.00 | $0.00 | See FINRA Report |
| Shannon Stacy Betts | 6851406 | 2 | 04/18/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |