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 |
|---|---|---|---|---|---|---|---|---|
| David Keith Hays | 2434893 | 6 | 04/09/2013 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| William Joel Small | 2649975 | 3 | 04/08/2013 | Customer Dispute | Settled | $73,000.00 | $0.00 | See FINRA Report |
| Andrea Ruth Klipfel | 4618630 | 2 | 04/01/2013 | Customer Dispute | Settled | $13,000.00 | $0.00 | See FINRA Report |
| David Keith Hays | 2434893 | 6 | 01/22/2013 | Customer Dispute | Settled | $110,000.00 | $0.00 | See FINRA Report |
| Edward Leonard Fredericks | 1095689 | 6 | 01/07/2013 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| David Patrick Leathers | 2253342 | 1 | 01/02/2013 | Customer Dispute | Settled | $1,649,000.00 | $0.00 | See FINRA Report |
| Brent Robert Broaddus | 4875940 | 3 | 12/14/2012 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Elizabeth M Bennett | 5589525 | 1 | 10/26/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Riad Shanawany | 3184981 | 3 | 10/12/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Craig Anthony Rosenberg | 1589322 | 2 | 09/05/2012 | Customer Dispute | Settled | $95,000.00 | $0.00 | See FINRA Report |