Charles Schwab & Co.

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

July 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Carlo Freese (Freese), currently associated with Charles Schwab & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Freese 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 $24,776.31 on September 22, 2023.

Client alleges representative did not follow specific investment instructions provided in June 2023

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

June 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Bailey (Bailey), currently associated with Charles Schwab & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Bailey 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 $500,000.00 on February 29, 2024.

The client alleges starting in or around 2018, the representative provided poor advice by implementing a strategy that is inconsistent with how the funds are supposed to be used.

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

May 4, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ronald Cappuccio (Cappuccio), currently associated with Charles Schwab & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Cappuccio 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 $2,700,000.00 on May 09, 2024.

While working at Quantum and Co., clients allege that the solicitation of accounts were improper by allegedly misrepresenting material facts and omissions related to the purchase of unregistered pre-Initial Public Offering securities. This matter is a pending civil litigation.

Broker Chad Faulkenberry in Charles Schwab & Co., INC. Firm Has Customer Complaint

May 1, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Chad Faulkenberry (Faulkenberry), previously associated with Charles Schwab & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Faulkenberry 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 $26,008.00 on May 29, 2024.

The client alleges starting in January 2022, the representative failed to provide any advice or recommendations which caused her to lose money.

Broker Richard Sica in Charles Schwab & Co., INC. Firm Has Customer Complaint

April 29, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on June 11, 2024.

The client alleges in January and February 2024, the representative failed to follow instructions regarding his investment strategy.

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

April 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Wright (Wright), currently associated with Charles Schwab & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Wright 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 $5,700.00 on June 14, 2024.

On or about November 21, 2021, the representative recommended to invest cash in cash sweep account so money could be readily accessed. The client alleges this was a poor recommendation because the cash sweep account allegedly paid little to no interest.

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

April 23, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on July 09, 2024.

Claimants allege that in early 2022, they hired the financial advisor to manage their accounts and that they wanted “growth”. However, Claimants allege the financial advisor allowed a substantial amount of cash to remain uninvested or in cash equivalent investments rather than purchasing equities. As a result, Claimants allege they missed an opportunity to capitalize on the rising equity market.

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

April 23, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on July 09, 2024.

Claimants allege that in early 2022, they hired the financial consultant to manage their accounts and that they wanted “growth”. However, Claimants allege the financial consultant allowed a substantial amount of cash to remain uninvested or in cash equivalent investments rather than purchasing equities. As a result, Claimants allege they missed an opportunity to capitalize on the rising equity market.

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

April 23, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Natalie Kotroba (Kotroba), currently associated with Charles Schwab & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Kotroba 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 $26,008.00 on July 17, 2024.

The client alleges starting in January 2022, the manager failed to supervise her RR when he allegedly failed to provide investment advice or recommendations which caused her to lose money.

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

April 18, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Williams (Williams), currently associated with Charles Schwab & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Williams 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 $235,000.00 on January 28, 2025.

The client alleges in December 2024 that the representative provided false and misleading information concerning an option position. The client relied upon this information to trade in an effort to minimize losses that the client erroneously believed existed.