Tag Archives: Charles Schwab Co. Inc.

FINRA Charges Charles Schwab Broker With Stealing

Andrew Manual Garcia of Indianapolis Indiana a stockbroker formerly registered with Charles Schwab Co. Inc. has been charged by Financial industry Regulatory Authority (FINRA) Department of Enforcement in a Complaint alleging that Garcia converted a customer’s funds. Department of Enforcement v. Andrew Manual Garcia, Disciplinary Action No. 2017054899801 (Feb. 4, 2019). According to the Complaint, […]

Read More »

Charles Schwab Broker Barred By Regulator For Forgery

May 31, 2018  |   Posted by :   |   Forgery, Investment and Regulatory News   |   0 Comments

John Francis Wilson of Hingham Massachusetts a stockbroker formerly registered with Charles Schwab Co. Inc. has been permanently barred in all capacities by the Securities Division of the Commonwealth of Massachusetts based upon Wilson’s consent to findings that he forged a customer’s signature on an annuity application in violation of Sections 101 and 204(a)(2)(G) of […]

Read More »