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 |
|---|---|---|---|---|---|---|---|---|
| Riad Shanawany | 3184981 | 3 | 10/12/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Deanna Michelle Williamson | 4399708 | 3 | 08/08/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Roy Phillip Laux | 1314343 | 1 | 04/03/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Morris Noriaki Kunita | 832183 | 3 | 10/13/2010 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Paul Richard Quinn | 2909821 | 4 | 08/18/2009 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Curtis Lee Yourkievitz | 4903858 | 3 | 04/01/2009 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Kathy Joy Gordon | 1266881 | 5 | 12/12/2008 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Kathy Joy Gordon | 1266881 | 5 | 11/14/2007 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Ronald Matthew Hoyle | 5754179 | 4 | 06/05/2007 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John Richard Carlson | 2156089 | 2 | 01/30/2004 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |