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 |
|---|---|---|---|---|---|---|---|---|
| Joseph Arthur Stueber | 2239272 | 3 | 04/13/2010 | Customer Dispute | Denied | $200,000.00 | $0.00 | See FINRA Report |
| Terry S Sawchuk | 2084275 | 5 | 01/29/2010 | Customer Dispute | Settled | $5,701.65 | $0.00 | See FINRA Report |
| Clifford Lynn Harro | 1965475 | 4 | 10/02/2009 | Customer Dispute | Denied | $102,288.00 | $0.00 | See FINRA Report |
| Morris Noriaki Kunita | 832183 | 3 | 09/16/2009 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Paul Richard Quinn | 2909821 | 4 | 09/02/2009 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Paul Richard Quinn | 2909821 | 4 | 08/18/2009 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Morris Noriaki Kunita | 832183 | 3 | 08/11/2009 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| Stuart Farrell Ettingoff | 1025504 | 4 | 08/06/2009 | Customer Dispute | Settled | $60,000.00 | $0.00 | See FINRA Report |
| Scott Christopher Jackson | 4443921 | 3 | 07/29/2009 | Customer Dispute | Settled | $3,000,000.00 | $0.00 | See FINRA Report |
| Evan Christopher Conley | 5684249 | 2 | 06/28/2009 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |