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 |
|---|---|---|---|---|---|---|---|---|
| Christopher Michael Dalton | 1634490 | 1 | 01/22/1993 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Andrew Elliot Siegel | 7368651 | 2 | 01/12/1993 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Marc Henry Brinster | 2254025 | 2 | 01/01/1993 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Luis R Arellano | 4507229 | 1 | 08/15/1992 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Brian Snyder | 2369893 | 2 | 08/06/1992 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Stuart Connelly Moss | 2382067 | 2 | 07/03/1992 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Brian V Jackson | 4174278 | 1 | 06/30/1992 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Alan Taylor | 3134565 | 1 | 04/18/1992 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Liz Ann Sonders | 2048799 | 1 | 02/03/1992 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Graham R Harwell | 5228348 | 1 | 01/27/1992 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |