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 | 12/30/2010 | Customer Dispute | Settled | $280,000.00 | $0.00 | See FINRA Report |
| Danny Thomas Ossi | 2701406 | 5 | 11/22/2010 | Customer Dispute | Settled | $1,600,000.00 | $0.00 | See FINRA Report |
| Morris Noriaki Kunita | 832183 | 3 | 10/13/2010 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Thomas Fidler | 2512493 | 3 | 09/14/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Scott Christopher Jackson | 4443921 | 3 | 08/25/2010 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Eric Stanley Springer | 1627822 | 4 | 08/10/2010 | Customer Dispute | Settled | $35,000.00 | $0.00 | See FINRA Report |
| Deanna Michelle Williamson | 4399708 | 3 | 07/14/2010 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Malcolm Scott McKay | 2605922 | 5 | 06/16/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Terry S Sawchuk | 2084275 | 5 | 05/03/2010 | Customer Dispute | Denied | $84,000.00 | $0.00 | See FINRA Report |
| Thomas Paul Brewer | 2240785 | 2 | 04/14/2010 | Customer Dispute | Denied | $39,596.80 | $0.00 | See FINRA Report |