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 |
|---|---|---|---|---|---|---|---|---|
| Curtis Lee Yourkievitz | 4903858 | 3 | 04/08/2008 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Michael Todd Fels | 3041599 | 6 | 03/06/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael Todd Fels | 3041599 | 6 | 03/06/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Ronald Matthew Hoyle | 5754179 | 5 | 06/05/2007 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David Winston Crist | 1902177 | 1 | 03/19/2007 | Customer Dispute | Award / Judgment | $654,730.00 | $225,149.00 | See FINRA Report |
| Stuart Farrell Ettingoff | 1025504 | 4 | 03/15/2007 | Customer Dispute | Denied | $8,098.00 | $0.00 | See FINRA Report |
| Stuart Farrell Ettingoff | 1025504 | 4 | 02/08/2007 | Customer Dispute | Settled | $9,192.00 | $0.00 | See FINRA Report |
| Arthur Alexander Castro | 2997776 | 4 | 02/02/2007 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Alan Jeffery Kasser | 1212756 | 2 | 12/12/2006 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Anthony Michael Lofaso | 711251 | 2 | 10/13/2006 | Customer Dispute | Settled | $6,082.35 | $0.00 | See FINRA Report |