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 |
|---|---|---|---|---|---|---|---|---|
| Richard Lane | 6750690 | 1 | 01/22/1995 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Laura Jean Brown | 6240000 | 1 | 12/29/1994 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Brian Snyder | 2369893 | 2 | 12/20/1994 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Reymundo Contreras | 6878786 | 1 | 11/22/1994 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Derrick Enzo Ricci | 3213523 | 1 | 11/17/1994 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Kevin Paul Judge | 2641874 | 1 | 09/29/1994 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Dale Whylie | 5194142 | 4 | 06/22/1994 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Darryl Newton Sloan | 1805258 | 1 | 06/01/1994 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Kenric Jermayne Farlow | 4888574 | 1 | 05/11/1994 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Edward Kesisian | 5663779 | 1 | 03/01/1994 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |