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 |
---|---|---|---|---|---|---|---|---|
Franklin Krone Lentz | 1517542 | 2 | 05/13/2005 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
Robert Andrew Kopp | 1059290 | 3 | 03/16/2005 | Customer Dispute | Closed-No Action | $33,024.00 | $0.00 | See FINRA Report |
Howard Darrell Timberlake | 2544007 | 5 | 11/17/2004 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
Kenneth Alan Levin | 2823854 | 2 | 09/01/2004 | Customer Dispute | Denied | $12,000.00 | $0.00 | See FINRA Report |
Dennis Wayne Thacker | 5722982 | 1 | 07/17/2004 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
Stephen Joseph Scott | 3120808 | 1 | 06/28/2004 | Customer Dispute | Settled | $450,000.00 | $0.00 | See FINRA Report |
Mark Raymond Pinardi | 3041116 | 1 | 05/24/2004 | Customer Dispute | Denied | $9,485.00 | $0.00 | See FINRA Report |
James Carl Sprecher | 1579184 | 4 | 05/17/2004 | Customer Dispute | Settled | $180,000.00 | $0.00 | See FINRA Report |
Peter Jesus Sagorski | 2596213 | 2 | 04/30/2004 | Customer Dispute | Closed-No Action | $400,000.00 | $0.00 | See FINRA Report |
Joseph Alfred Ferron | 1432984 | 13 | 03/23/2004 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |