Our Staff has compiled our research into a database of FINRA Broker Disclosures for J.W. Cole Financial, Inc.. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Robert William Tiller | 1434108 | 1 | 09/21/2006 | Customer Dispute | Denied | $130,000.00 | $0.00 | See FINRA Report |
| Michael Charles Pennica | 2821549 | 2 | 07/20/2006 | Customer Dispute | Denied | $15,051.00 | $0.00 | See FINRA Report |
| Michael Charles Pennica | 2821549 | 2 | 07/20/2006 | Customer Dispute | Denied | $11,261.30 | $0.00 | See FINRA Report |
| Tim Russell Gerds | 2651778 | 9 | 06/23/2006 | Customer Dispute | Denied | $21,320.00 | $0.00 | See FINRA Report |
| Tim Russell Gerds | 2651778 | 9 | 06/09/2006 | Customer Dispute | Denied | $5,293.52 | $0.00 | See FINRA Report |
| Keith Leon Glaser | 4437077 | 6 | 01/12/2006 | Customer Dispute | Denied | $52,000.00 | $0.00 | See FINRA Report |
| Beverly Virginia Pieper | 1581250 | 1 | 05/31/2005 | Customer Dispute | Denied | $320,000.00 | $0.00 | See FINRA Report |
| Howard Darrell Timberlake | 2544007 | 5 | 11/17/2004 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Kenneth Alan Levin | 2823854 | 2 | 09/01/2004 | Customer Dispute | Denied | $12,000.00 | $0.00 | See FINRA Report |
| Mark Raymond Pinardi | 3041116 | 1 | 05/24/2004 | Customer Dispute | Denied | $9,485.00 | $0.00 | See FINRA Report |