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 Sica | 1756940 | 3 | 06/11/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Deo Rampersaud | 7809680 | 5 | 05/31/2024 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| David Lawrence Hess | 1621159 | 1 | 05/22/2024 | Customer Dispute | Denied | $123,383.00 | $0.00 | See FINRA Report |
| Ronald Cappuccio | 5530949 | 1 | 05/09/2024 | Customer Dispute | Pending | $2,700,000.00 | $0.00 | See FINRA Report |
| Kyle Jeffrey Smith | 6411194 | 1 | 05/05/2024 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |
| Hannah Elizabeth McMillan | 5184502 | 5 | 04/29/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jay P Cheney | 5553870 | 2 | 04/28/2024 | Customer Dispute | Denied | $38,000.00 | $0.00 | See FINRA Report |
| Erik Talmage | 7012796 | 1 | 04/24/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Tyler L Estrada | 6559273 | 3 | 04/24/2024 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Thomas Edgar Shillingburg | 6338916 | 1 | 04/17/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |