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 |
|---|---|---|---|---|---|---|---|---|
| Arthur Alexander Castro | 2997776 | 4 | 03/16/2004 | Customer Dispute | Settled | $80,000.00 | $0.00 | See FINRA Report |
| Monica Jean Busch | 2239927 | 1 | 02/11/2004 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Joseph Alfred Ferron | 1432984 | 13 | 01/27/2004 | Customer Dispute | Settled | $8,926.00 | $0.00 | See FINRA Report |
| Tim Russell Gerds | 2651778 | 9 | 09/30/2003 | Customer Dispute | Settled | $21,500.00 | $0.00 | See FINRA Report |
| James Carl Sprecher | 1579184 | 4 | 08/25/2003 | Customer Dispute | Settled | $205,000.00 | $0.00 | See FINRA Report |
| Edward Leonard Fredericks | 1095689 | 6 | 08/21/2003 | Customer Dispute | Denied | $18,000.00 | $0.00 | See FINRA Report |
| Kevin Glenn Ford | 2992625 | 2 | 07/17/2003 | Customer Dispute | Award / Judgment | $30,000.00 | $8,000.00 | See FINRA Report |
| Joseph Arthur Stueber | 2239272 | 3 | 06/06/2003 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Tim Russell Gerds | 2651778 | 9 | 06/02/2003 | Customer Dispute | Settled | $15,000.00 | $0.00 | See FINRA Report |
| Anthony Francis Blair | 1257306 | 3 | 05/28/2003 | Customer Dispute | Settled | $18,571.30 | $0.00 | See FINRA Report |