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FINRA Broker Disclosures for J.W. Cole Financial, Inc.

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.

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Displaying 211-220 out of 280 results
Name CRD Total Disclosures Filing Date Disclosure Type Disclosure Status Damages Requested Damages Granted FINRA Reports
Franklin Krone Lentz1517542205/13/2005CriminalFinal Disposition$0.00$0.00See FINRA Report
Robert Andrew Kopp1059290303/16/2005Customer DisputeClosed-No Action$33,024.00$0.00See FINRA Report
Howard Darrell Timberlake2544007511/17/2004Customer DisputeDenied$0.00$0.00See FINRA Report
Kenneth Alan Levin2823854209/01/2004Customer DisputeDenied$12,000.00$0.00See FINRA Report
Dennis Wayne Thacker5722982107/17/2004CriminalFinal Disposition$0.00$0.00See FINRA Report
Stephen Joseph Scott3120808106/28/2004Customer DisputeSettled$450,000.00$0.00See FINRA Report
Mark Raymond Pinardi3041116105/24/2004Customer DisputeDenied$9,485.00$0.00See FINRA Report
James Carl Sprecher1579184405/17/2004Customer DisputeSettled$180,000.00$0.00See FINRA Report
Peter Jesus Sagorski2596213204/30/2004Customer DisputeClosed-No Action$400,000.00$0.00See FINRA Report
Joseph Alfred Ferron14329841303/23/2004Customer DisputeClosed-No Action$5,000.00$0.00See FINRA Report

280 Results

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