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 |
|---|---|---|---|---|---|---|---|---|
| Danny Thomas Ossi | 2701406 | 5 | 12/08/2011 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| William Joel Small | 2649975 | 3 | 08/25/2011 | Customer Dispute | Denied | $190,000.00 | $0.00 | See FINRA Report |
| Riad Shanawany | 3184981 | 3 | 07/21/2011 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Peter Jesus Sagorski | 2596213 | 2 | 07/13/2011 | Customer Dispute | Pending | $22,856.30 | $0.00 | See FINRA Report |
| Keith Leon Glaser | 4437077 | 6 | 06/16/2011 | Customer Dispute | Settled | $103,214.00 | $0.00 | See FINRA Report |
| Danny Thomas Ossi | 2701406 | 5 | 05/09/2011 | Customer Dispute | Settled | $120,000.00 | $0.00 | See FINRA Report |
| Dorothea Sue Cole | 3208277 | 4 | 04/27/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Clifford Lynn Harro | 1965475 | 4 | 03/11/2011 | Customer Dispute | Closed-No Action | $238,754.00 | $0.00 | See FINRA Report |
| Joseph Arthur Stueber | 2239272 | 3 | 01/24/2011 | Customer Dispute | Settled | $16,600.00 | $0.00 | See FINRA Report |
| Michael Todd Fels | 3041599 | 6 | 01/19/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |