FINRA Awards for J.W. Cole Financial.

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Displaying 4 out of 4 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
23-02874	05/24/2024	Claimant(s): Ronald Hoyle Claimant Lawyers(s): Peter Lindholm Respondent(s): Grove Point Investments, J.W. Cole Financial. Respondent Lawyers(s): Gregg J. Breitbart, Matt Winterhalter Arbitrator(s): Steven H. Vogel Hearing Site: Chicago, IL
23-00670	10/30/2023	Claimant(s): Dianne Odom Claimant Lawyers(s): Avinoam Rosenfeld Respondent(s): Woodbury Financial Services., J.W. Cole Financial., Transamerica Financial Advisors Respondent Lawyers(s): Gregg J. Breitbart, Jennifer R. Cox, Susan D. Duff Arbitrator(s): David M. Snyder, Nathan Jon Larson, Bryant Ashley Scriven Hearing Site: Tampa, FL
22-01896	08/10/2023	Claimant(s): Terry Anderson Claimant Lawyers(s): Avinoam Rosenfeld Respondent(s): Securities America., First Allied Securities., Capwest Securities., International Assets Advisory, J.W. Cole Financial., QA3 Financial Corp. Respondent Lawyers(s): Dale K. Hall, Emily M. Knight, Jennifer R. Cox, Jeremy Wooden, Myra P. Nicholson, Stephen K. Wild Arbitrator(s): Steven Meyrich, Leonard M. Goldstein, Aaron J. Haley Hearing Site: Denver, CO
10-05247	06/02/2014	Claimant(s): Thomas Campbell Claimant Lawyers(s): Vincent Imbesi Respondent(s): J.W. Cole Financial. Respondent Lawyers(s): Alan M. Wolper Arbitrator(s): Robert J. Scafuri, Stuart Sinai, Mauricio Kohn Hearing Site: Detroit, MI