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 |
|---|---|---|---|---|---|---|---|---|
| Ronald Matthew Hoyle | 5754179 | 5 | 11/05/2014 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Steven Emmeluth | 4997025 | 3 | 10/01/2014 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Edward Leonard Fredericks | 1095689 | 6 | 09/26/2014 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael John Vanhorenbeck | 1997422 | 1 | 07/30/2014 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| Timothy Matthew Schultz | 3111956 | 3 | 06/10/2014 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Timothy Matthew Schultz | 3111956 | 3 | 06/10/2014 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Richard Scott Ramsay | 4512644 | 2 | 05/27/2014 | Customer Dispute | Settled | $7,200.00 | $0.00 | See FINRA Report |
| Ronald Matthew Hoyle | 5754179 | 5 | 04/22/2014 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Martin Dennis Ian Barinaga | 1932496 | 4 | 04/10/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| David Keith Hays | 2434893 | 6 | 04/08/2014 | Customer Dispute | Settled | $330,000.00 | $0.00 | See FINRA Report |