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 |
|---|---|---|---|---|---|---|---|---|
| Terry S Sawchuk | 2084275 | 5 | 01/22/2014 | Customer Dispute | Denied | $13,709.00 | $0.00 | See FINRA Report |
| David Keith Hays | 2434893 | 6 | 12/06/2013 | Customer Dispute | Denied | $249,193.00 | $0.00 | See FINRA Report |
| Deanna Michelle Williamson | 4399708 | 3 | 11/16/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David Keith Hays | 2434893 | 6 | 10/08/2013 | Customer Dispute | Denied | $92,000.00 | $0.00 | See FINRA Report |
| Kenneth Alan Levin | 2823854 | 2 | 09/16/2013 | Customer Dispute | Denied | $5,148.57 | $0.00 | See FINRA Report |
| Jonathan Tuthill Lawrence | 2645097 | 2 | 08/22/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Martin Dennis Ian Barinaga | 1932496 | 4 | 08/06/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| William Joel Small | 2649975 | 3 | 07/16/2013 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Marley David Dallas | 7912807 | 1 | 05/10/2013 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Don Wesley Salter | 2218601 | 2 | 05/06/2013 | Customer Dispute | Settled | $13,700.00 | $0.00 | See FINRA Report |