Last Updated: September 17, 2021 CHARLES SCHWAB INTELLIGENT INVESTORS: If you are a Charles Schwab Intelligent Portfolio customer, you may be entitled to compensation. Complete[...]
Charles Schwab
Allegations of laddered Call Options Strategy on Apple Stock A dispute was first reported in December 2020 as: Allegations: The customer alleged an unsuitable laddered call[...]
Slocum is barred from associating with any FINRA member firm as of August 2020. Andrew Slocum (CRD#: 3249791) was registered as a broker with Charles[...]
Nelson was also accused of providing false statements to FINRA in response to their investigation into Nelson’s misconduct. The Sonn Law Group is investigating allegations[...]
Andrew Manuel Garcia (CRD No. 6715172) is a former registered financial advisor. In 2017, Mr. Garcia was a representative at Charles Schwab in Indianapolis, Indiana.[...]