Articles Tagged with Charles Schwab & Co.

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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.

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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.

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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.

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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.

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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.

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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.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daryl Powell (Powell), currently associated with Charles Schwab & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Powell 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 $1,500,000.00 on March 13, 2025.

Starting in 2021, the client alleges the associate misrepresented the brokerage account funds available for withdrawal from the Pledged Asset Line of credit.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Chad Groseclose (Groseclose), currently associated with Charles Schwab & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Groseclose 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 $72,298.00 on May 15, 2025.

In May of 2024, the client alleges the representative provided poor advice regarding the partial surrender of variable annuities held outside of Schwab and created an unexpected tax liability.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jonathan Lococo (Lococo), currently associated with Charles Schwab & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Lococo 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 $5,000.00 on May 19, 2025.

In March 2025, the client alleges the representative misrepresented the dollar amount of a retention offer.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Linett Batiste (Batiste), currently associated with Charles Schwab & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Batiste 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 $109,820.00 on July 20, 2023.

The client alleges misleading information was provided regarding CD interest rates.

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