CHARLES SCHWAB & CO., INC. of SAN FRANCISCO, CA is an SEC-registered investment adviser (CRD 5393). This firm reports disciplinary history on Form ADV.
Compensation: Fixed, Other.
Clients served: Individuals, Charities, Other.
Showing 25 of 63 people.
| Name | Role | Location |
|---|---|---|
| Lyons Robert Mark | EXECUTIVE VICE PRESIDENT - ACTIVE TRADER ENTERPRISE | Plymouth, MN |
| Charles Nichols | MANAGING DIRECTOR AND BROKER DEALER & INVESTMENT ADVISOR CHIEF COMPLIANCE OFFICER | Nashua, NH |
| Dennis Willard Howard | MANAGING DIRECTOR AND CHIEF INFORMATION OFFICER | — |
| Jeffrey Harold Starr | MANAGING DIRECTOR, AND OPERATIONAL SERVICES AND PRINCIPAL OPERATIONS OFFICER | — |
| Jonathan M Craig | PRESIDENT, DIRECTOR, MANAGING DIRECTOR AND HEAD OF INVESTOR SERVICES AND MARKETING | — |
| Michael Daniel Verdeschi | MANAGING DIRECTOR AND CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER, DIRECTOR | — |
| Neesha K Hathi | MANAGING DIRECTOR HEAD OF WEALTH & ADVICE SOLUTIONS | — |
| Jonathan Scott Beatty | DIRECTOR, MANAGING DIRECTOR AND HEAD OF ADVISOR SERVICES | — |
| BROWN KEVIN THOMAS | GENERAL COUNSEL | — |
| SCHWAB CHARLES ROBERT | CEO & CHAIRMAN OF THE BOARD; CHAIRMAN OF THE BOARD; CHAIRMAN OF THE BOARD AND DIRECTOR | — |
| DODDS CHRISTOPHER VINCENT | EXECUTIVE VICE PRESIDENT AND CHIEF FINANCIAL OFFICER; EXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER AND DIRECTOR | — |
| DWYER CARRIE ELIZABETH | EVP - CORPORATE OVERSIGHT AND CORPORATE SECRETARY; EXECUTIVE VICE PRESIDENT - CORPORATE OVERSIGHT AND CORPORATE SECRETARY; EXECUTIVE VICE PRESIDENT - GENERAL COUNSEL AND CORPORATE SECRETARY | — |
| SOMMERFIELD MAURISA | EXECUTIVE VICE PRESIDENT - CHIEF OPERATIONS OFFICER | — |
| SASSON GIDEON | EXECUTIVE VICE PRESIDENT - CHIEF INFORMATION OFFICER | — |
| BETTINGER WALTER WILLIAM II | EVP AND PRESIDENT OF INDIVIDUAL INVESTOR ENTERPRISE; EVP, PRESIDENT AND CHIEF OPERATING OFFICER; EXECUTIVE VICE PRESIDENT - INVESTOR CENTER NETWORK (+1 more) | — |
| MCWHINNEY DEBORAH DOYLE | EXECUTIVE VICE PRESIDENT - SCHWAB INSTITUTIONAL | — |
| KONOP LYNN MARIE | VICE PRESIDENT; VP, CROP | — |
| HAVLIK BARI MANZARI | SVP, GLOBAL COMPLIANCE & CHIEF COMPLIANCE OFFICER | — |
| SMOTHERMON JAMES ALAN | SENIOR REGISTERED OPTIONS PRINCIPAL | — |
| MILLER DAVID JOHN | VP - SENIOR REGISTERED OPTIONS PRINCIPAL | — |
| FISHEL THOMAS CHAPMAN | VP - COMPLIANCE REGISTERED OPTIONS PRINCIPAL | — |
| STEWART JARVIS CHRISTOPHER | INVESTMENT ADVISOR CHIEF COMPLIANCE OFFICER | — |
| NICHOLS CHARLES | MANAGING DIRECTOR AND BROKER DEALER & INVESTMENT ADVISOR CHIEF COMPLIANCE OFFICER; MANAGING DIRECTOR AND INVESTMENT ADVISOR CHIEF COMPLIANCE OFFICER | — |
| ATWELL WILLIAM LISLE | EXECUTIVE VICE PRESIDENT - CLIENT SALES AND SERVICE; EXECUTIVE VICE PRESIDENT - SCHWAB INSTITUTIONAL | — |
| SCHEID STEVEN L | VICE CHAIRMAN AND PRESIDENT SCHWAB RETAIL GROUP | — |
Showing 10 of 16 distinct disclosure events.
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2025-01-13 | regulatory | THE SECURITIES AND EXCHANGE COMMISSION ("SEC") ENTERED INTO A SETTLED ORDER FINDING THAT CHARLES SCHWAB & CO., INC. ("CS&CO.") FAILED TO (1) MAINTAIN AND PRESERVE OFF-CHANNEL COMMUNICATIONS RELATED TO CS&CO.'S BROKER-DEALER BUSINESS, IN WILLFUL VIOLATION OF SECTION 17(A) OF THE SECURITIES EXCHANGE A… | Final | $10.0M |
| 2023-06-08 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT BETWEEN JANUARY 2016 AND DECEMBER 2020 IT SENT TO ITS CUSTOMERS TRANSACTION CONFIRMATIONS THAT OMITTED REQUIRED DISCLOSURES REGARDING PURCHASES OF CERTAIN ETNS. THE FINDINGS STATE THAT TH… | Final | $350K |
| 2022-06-13 | regulatory | ON JUNE 13, 2022, SCHWAB AND ITS AFFILIATE CHARLES SCHWAB INVESTMENT ADVISORY, INC. (COLLECTIVELY, "SCHWAB" FOR PURPOSES OF THIS MATTER DESCRIPTION ONLY) REACHED AN AGREEMENT WITH THE UNITED STATES SECURITIES AND EXCHANGE COMMISSION ("SEC") TO SETTLE A MATTER RELATED TO HISTORICAL DISCLOSURES AND MA… | Final | $135.0M |
| 2021-07-21 | regulatory | "THE DIVISION ALLEGES THAT SCHWAB ENGAGED IN UNETHICAL AND DECEPTIVE ACTS AND PRACTICES BY: (1) FAILING TO HAVE IN PLACE ANY POLICIES OR PROCEDURES TO MONITOR ADEQUATELY ACCOUNTS ON ITS PLATFORM FOR PAYMENTS TO FORMER UNREGISTERED INVESTMENT ADVISERS AND INVESTMENT ADVISER REPRESENTATIVES, AND (2) E… | Pending | — |
| 2020-05-26 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT FAILED TO ESTABLISH A SYSTEM OF RISK MANAGEMENT CONTROLS AND SUPERVISORY PROCEDURES REASONABLY DESIGNED TO MANAGE THE RISKS OF ITS MARKET ACCESS ACTIVITY AND TO PREVENT THE ENTRY OF ER… | Final | $25K |
| 2020-05-24 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT FAILED TO ESTABLISH A SYSTEM OF RISK MANAGEMENT CONTROLS AND SUPERVISORY PROCEDURES REASONABLY DESIGNED TO MANAGE THE RISKS OF ITS MARKET ACCESS ACTIVITY AND TO PREVENT THE ENTRY OF ER… | Final | $25K |
| 2018-07-02 | civil | PURSUANT TO A CONSENT EXECUTED BY CHARLES SCHWAB & CO., INC. (CS&CO.) AND FILED WITH THE FEDERAL DISTRICT COURT ON JULY 9, 2018, CS&CO. CONSENTED TO THE ENTRY OF AN INJUNCTION REGARDING CS&CO.'S ALLEGED FAILURE TO FILE SUSPICIOUS ACTIVITY REPORTS (SARS) ON SUSPICIOUS TRANSACTIONS BY INDEPENDENT, THI… | Final | $2.8M |
| 2018-07-02 | regulatory | CBOE EXCHANGE CLAIMED THAT, BETWEEN JANUARY 2010 THROUGH DECEMBER 2016, CHARLES SCHWAB & CO., INC. (CS&CO) INACCURATELY REPORTED LARGE OPTIONS POSTIONS REPORTING (LOPR) RECORDS, FAILED TO REPORT LOPR RECORDS, FAILED TO ESTABLISH ADEQUATE SUPERVISORY SYSTEMS REASONABLY DESIGNED TO ENSURE COMPLIANCE W… | Final | $300K |
| 2015-08-24 | regulatory | FINRA FOUND THAT ON THREE DAYS IN 2014, AS A RESULT OF INTERCOMPANY TRANSFERS TO ITS PARENT CORPORATION, THE FIRM DID NOT MAINTAIN SUFFICIENT NET CAPITAL AND DID NOT HAVE ADEQUATE PROCEDURES IN PLACE TO ASSESS THE POTENTIAL NET CAPITAL IMPACT OF SUCH INTERCOMPANY TRANSFERS. THE TRANSFERS TO THE PARE… | Final | $2.0M |
| 2014-11-03 | regulatory | THE SECURITIES AND EXCHANGE COMMISSION ("COMMISSION") ALLEGED THAT IN MARCH 2014 CHARLES SCHWAB & CO., INC. ("SCHWAB") VIOLATED MSRB RULE G-15(F) BY EXECUTING FOUR UNSOLICITED SALES TRANSACTIONS IN PUERTO RICO GENERAL OBLIGATION BONDS OF 2014 SERIES A ("THE 2014 BONDS") WITH CUSTOMERS IN AMOUNTS BEL… | Final | $62K |