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 |
|---|---|---|---|---|---|---|---|---|
| Robert W Kosman | 4616448 | 1 | 03/01/1994 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Christopher Sabo | 4175134 | 2 | 02/28/1994 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Christopher Sabo | 4175134 | 2 | 02/28/1994 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Ira A Nitzkin | 1136040 | 3 | 01/10/1994 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Patrick James Phinney | 2584177 | 3 | 12/21/1993 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| William John Osborne | 1305528 | 1 | 09/03/1993 | Customer Dispute | Award / Judgment | $4,761.75 | $925.00 | See FINRA Report |
| Jill Janiece McBrayer | 4306226 | 1 | 08/17/1993 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Cade Rockwell Steen | 4830804 | 1 | 08/11/1993 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Stuart Connelly Moss | 2382067 | 2 | 08/07/1993 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Ricardo Marcelo Deleon | 6871264 | 1 | 02/28/1993 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |