Charles Schwab & Co.

Broker Gabriela Alfaro in Charles Schwab & Co., Inc. Firm Has Customer Complaint

February 6, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint on October 26, 2023.

Respondent Alfaro failed to respond to FINRA requests for information.

Broker Cyrus Baravati in Charles Schwab & Co., Inc. Firm Has Customer Complaint

February 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Cyrus Baravati (Baravati), currently associated with Charles Schwab & Co., Inc., has at least one disclosable event. These events include one customer complaint, alleging that Baravati 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 $25,286.38 on November 10, 2024.

The client alleges he was misled about a transfer of accounts from another firm. The client claims that he was advised the transfer would be in-kind and not incur any tax consequences.

Broker Thuong Pham in Charles Schwab & Co., Inc. Firm Has Customer Complaint

February 1, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thuong Pham (Pham), currently associated with Charles Schwab & Co., Inc., has at least one disclosable event. These events include one customer complaint, alleging that Pham 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 $5,000.00 on November 14, 2024.

Client alleges he was misled on his eligibility of receiving a $5000.00 account bonus.

There are Recent Customer Complaints with Broker Daryl Powell in Firm Charles Schwab & Co., Inc.

February 1, 2025 | by Staff Attorney

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 settled customer complaint with a damage request of $25,286.38 on November 10, 2024.

The client alleges he was misled about a transfer of accounts from another firm. The client claims that he was advised the transfer would be in-kind and not incur any tax consequences.