Charles Schwab & Co.

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.

Broker Raymond Thill in Charles Schwab & Co., INC. Firm Has Customer Complaint

March 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Raymond Thill (Thill), previously associated with Charles Schwab & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Thill 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 $4,000,000.00 on September 30, 2020.

Clients allege the representative provided a financial plan in 2017 which undercounted the Client’s anticipated withdrawals and provided an inaccurate probability that the Clients would achieve their retirement goals.

Broker William Matthews in Charles Schwab & Co., INC. Firm Has Customer Complaint

March 26, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Matthews (Matthews), currently associated with Charles Schwab & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Matthews 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 $22,751.00 on October 14, 2020.

Client alleges the representative did not follow instructions provided on August 4, 2020 to cancel the 2020 Required Minimum Distribution which resulted in an additional $22,751 tax obligation.

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

March 23, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Mccarthy (Mccarthy), previously associated with Charles Schwab & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Mccarthy 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 $13,068.94 on November 02, 2020.

Client alleges that the representative recommended and placed a limit order on an opening option order on June 2, 2020, which the client claims caused him (the client) to place limit orders for multiple closing orders, for the same option, when the client placed orders himself online on June 3, 2020.

Broker Brady Clar in Charles Schwab & Co., INC. Firm Has Customer Complaint

March 21, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brady Clar (Clar), currently associated with Charles Schwab & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Clar 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 $14,774.00 on November 17, 2020.

Client alleges in October 2019, representative provided advice to sell Master Limited Partnerships (MLP’s) in the account which resulted in a tax liability of $14,774.

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

March 16, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jason Bukowsky (Bukowsky), currently associated with Charles Schwab & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Bukowsky 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 $36,000.00 on December 22, 2020.

Client alleges a loss of $36,000 due to a systems outage and subsequent direction received from the registered representative to process the requested trade (sale of Amazon on November 11th, 2020) at a loss, with assurance he would be made whole.

There are Recent Customer Complaints with Broker Andres Fernandez Salvador in Firm Charles Schwab & Co., INC.

March 6, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andres Fernandez Salvador (Fernandez Salvador), previously associated with Charles Schwab & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Fernandez Salvador 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 $1,400,000.00 on December 11, 2025.

Brokers are required to adhere to the SEC’s Regulation Best Interest (Reg BI) standard of care under the Securities Exchange Act of 1934 which establishes a ‘best interest’ standard for broker-dealers and associated persons. Reg BI applies when brokers recommend a retail investor engage in securities transaction or an investment strategy involving one or more securities. Reg BI also applies to financial advice concerning the transfer of funds and opening of accounts. This standard applies when brokers make recommendations to retail customer for any securities transaction or investment strategy involving securities, including recommendations of types of accounts.