Charles Schwab & Co.

There are Recent Customer Complaints with Broker Richard Groff in Firm Charles Schwab & Co., INC.

July 31, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Groff (Groff), currently associated with Charles Schwab & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Groff recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $25,000.00 on March 04, 2020.

Client alleges on February 18, 2020, she provided instructions to the representative to sell the etf’s in her account and leave the funds in cash; instead he purchased shares of various securities with the proceeds.

Broker Edward Casasola in Charles Schwab & Co., INC. Firm Has Customer Complaint

July 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Edward Casasola (Casasola), previously associated with Charles Schwab & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Casasola recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $18,500.00 on March 17, 2020.

Client alleges that in March 2020 representative failed to follow instructions regarding the investment of funds into a managed account.

Broker Brian Tveter in Charles Schwab & Co., INC. Firm Has Customer Complaint

June 25, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Tveter (Tveter), currently associated with Charles Schwab & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Tveter recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on May 08, 2026.

In or around August 2021, the client claims the representative misrepresented the use of margin in his account when requesting cash withdrawals. The self-directed client asserts Schwab profited from charging more in margin interest on the increasing debit balance resulting from the client\\u2019s cash withdrawals.

There are Recent Customer Complaints with Broker Jason Payne in Firm Charles Schwab & Co., INC.

May 26, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jason Payne (Payne), currently associated with Charles Schwab & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Payne recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on April 30, 2025.

Client alleges that they were not properly advised regarding irs rules and tax implications associated with an indirect ira rollover, including limitations related to multiple distributions, resulting in potential financial harm.

There are Recent Customer Complaints with Broker Jason Comer in Firm Charles Schwab & Co., INC.

May 17, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jason Comer (Comer), currently associated with Charles Schwab & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Comer recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $21,408.00 on March 16, 2026.

The client alleges in December 2025, the representative failed to follow instructions regarding executing transactions.

There are Recent Customer Complaints with Broker Corey Elliott in Firm Charles Schwab & Co., INC.

May 13, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Corey Elliott (Elliott), currently associated with Charles Schwab & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Elliott recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $8,212.00 on April 01, 2026.

On April 1, 2026, the client alleges the representative failed to follow instructions regarding the purchase of a money market fund and made a claim for interest back to January 1, 2026.

Broker Jason Pence in Charles Schwab & Co., INC. Firm Has Customer Complaint

May 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jason Pence (Pence), currently associated with Charles Schwab & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Pence recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $11,471.49 on June 03, 2020.

Client alleges trades placed on May 15, 2020 were unauthorized.

There are Recent Customer Complaints with Broker Kenneth Boyer in Firm Charles Schwab & Co., INC.

April 10, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kenneth Boyer (Boyer), currently associated with Charles Schwab & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Boyer recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $134,000.00 on January 20, 2026.

The client alleges in August 2025, the representative acted, caused, or allowed an unauthorized transfer of funds from her account, that was initiated by an approved full trading agent, without her authorization.

Broker Brian Rabbito in Charles Schwab & Co., INC. Firm Has Customer Complaint

April 5, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Rabbito (Rabbito), currently associated with Charles Schwab & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Rabbito recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $20,000.00 on February 09, 2026.

The client alleges in October 2025, the representative misrepresented the terms of a cash promotion when reversing a $20k promotion upon the client removing funds before the 12 month asset retention period was met.

Broker Hardee Jerrels in Charles Schwab & Co., INC. Firm Has Customer Complaint

April 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Hardee Jerrels (Jerrels), currently associated with Charles Schwab & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Jerrels recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $345,000.00 on August 28, 2020.

The client alleges the investments he purchased in 2014 were unsuitable and misrepresented to him by the representative. The client also alleges the firm failed to supervise the actions of the representative and failed to conduct adequate due diligence.