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 |
|---|---|---|---|---|---|---|---|---|
| Tim Russell Gerds | 2651778 | 9 | 11/20/2008 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Keith Leon Glaser | 4437077 | 6 | 11/17/2008 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Keith Leon Glaser | 4437077 | 6 | 11/13/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Terry S Sawchuk | 2084275 | 5 | 11/10/2008 | Customer Dispute | Denied | $147,658.00 | $0.00 | See FINRA Report |
| Terry Lynn Armstrong | 4762752 | 2 | 10/24/2008 | Customer Dispute | Closed-No Action | $1,325.00 | $0.00 | See FINRA Report |
| Curtis Allen Wharton | 3014021 | 1 | 10/13/2008 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Martin Dennis Ian Barinaga | 1932496 | 4 | 08/13/2008 | Customer Dispute | Denied | $55,760.60 | $0.00 | See FINRA Report |
| Laura Ellen Clark-Brown | 3126637 | 1 | 07/14/2008 | Customer Dispute | Settled | $343,841.00 | $0.00 | See FINRA Report |
| Byron Keith Crosby | 2158157 | 2 | 06/08/2008 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Terry S Sawchuk | 2084275 | 5 | 05/21/2008 | Customer Dispute | Denied | $13,985.20 | $0.00 | See FINRA Report |