Charles Schwab & Co.

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

November 14, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Charles Reyes (Reyes), currently associated with Charles Schwab & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Reyes 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 $11,495.36 on June 26, 2022.

Client alleges poor recommendation/poor advice in August 2021, in connection with his account enrolled in Schwab Private Client.

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

November 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Barbuto (Barbuto), previously associated with Charles Schwab & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Barbuto 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 $54,531.13 on August 22, 2022.

Client alleges representative did not disclose fees associated with an advised offering and requested a refund of fees in the amount of $54,531.13.

Broker Mary Murphy in Charles Schwab & Co., INC. Firm Has Customer Complaint

October 23, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mary Murphy (Murphy), previously associated with Charles Schwab & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Murphy 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 $350,000.00 on December 23, 2022.

Client alleges the representative provided poor investment advice between approximately September 2021 and July 2022 which caused losses of approximately $350,000. Client also alleges that the representative offered to reimburse the Client’s losses through various means.

Broker Bruce Freal in Charles Schwab & Co., INC. Firm Has Customer Complaint

October 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bruce Freal (Freal), previously associated with Charles Schwab & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Freal 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 $617,500.00 on August 12, 2025.

Plaintiff alleges that Mr. Freal, while employed by the Firm, took advantage of a now deceased trustee by having her declared incompetent and had himself installed as successor trustee. After Freal left the Firm, he allegedly sold real estate valued at $617,500 and transferred funds to himself and others through accounts held at Schwab.

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

October 7, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on September 11, 2025.

The client, a former Schwab associate, alleges the representative engaged in frontrunning the his account.

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

October 6, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Paul Analovitch (Analovitch), currently associated with Charles Schwab & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Analovitch 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 $42,692.94 on October 24, 2022.

The client alleges in June 2020 the representative provided poor advice regarding the purchase of IBOXX Investment Grade Bond ETF (LQD) and the subsequent recommendation to continue to hold the shares.

Broker Robert Trimble in Charles Schwab & Co., INC. Firm Has Customer Complaint

October 2, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Trimble (Trimble), currently associated with Charles Schwab & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Trimble 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 $650,000.00 on November 22, 2022.

The client alleges in 2019 and 2020, the representative recommended bonds that were not suitable for the Trust’s investment objectives.

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

September 4, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Schweizer (Schweizer), currently associated with Charles Schwab & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Schweizer 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 $64,566.85 on July 09, 2025.

The client alleges the representative provided unsatisfactory advice by recommending an investment strategy to offset capital gains that resulted in an unexpected $73,514.74 tax liability.

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

September 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nicholas Yeros (Yeros), currently associated with Charles Schwab & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Yeros 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 $17,632.89 on August 13, 2025.

The client alleges in April 2025, the representative failed to follow his instructions regarding the execution of trades.

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

August 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jacob Warner (Warner), currently associated with Charles Schwab & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Warner 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 $21,327.99 on September 19, 2022.

The client expressed dissatisfaction with the recommendations she received while enrolled in Schwab Wealth Advisory from January 2020 to July 2022 and requested reimbursement of fees in the amount of $21,327.99.