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 |
---|---|---|---|---|---|---|---|---|
Nicholas Karl Hartung | 5497610 | 1 | 05/04/1997 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
Christina Ruth Brown | 4170058 | 1 | 04/17/1997 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
Glen George Schneiderman | 4728854 | 1 | 04/09/1997 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
Patricia Ann Cauble | 5835452 | 1 | 02/24/1997 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
Matthew Cole McConnell | 2804831 | 1 | 02/01/1997 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
Jeffrey Sheldon Johnette | 5969163 | 1 | 11/19/1996 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
Shannon Stacy Betts | 6851406 | 2 | 10/01/1996 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
Steven Douglas Tommasulo | 7293394 | 1 | 06/13/1996 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
Theodore Lee Goodsell | 4315955 | 1 | 03/01/1996 | Civil Bond | $0.00 | $0.00 | See FINRA Report | |
Gregory P Murray | 3191871 | 2 | 01/29/1996 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |