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 |
|---|---|---|---|---|---|---|---|---|
| Deanna Michelle Williamson | 4399708 | 3 | 08/08/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John Keith Burdette | 4261059 | 2 | 07/10/2012 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Malcolm Scott McKay | 2605922 | 5 | 07/09/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Barrington Darby Brower | 2144428 | 2 | 05/16/2012 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |
| Roy Phillip Laux | 1314343 | 1 | 04/03/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Thomas Fidler | 2512493 | 3 | 03/23/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Riad Shanawany | 3184981 | 3 | 03/22/2012 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Douglas B Hughes | 4028855 | 1 | 03/21/2012 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Evan Christopher Conley | 5684249 | 2 | 12/22/2011 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Todd Fels | 3041599 | 6 | 12/19/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |