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 |
|---|---|---|---|---|---|---|---|---|
| John Michael Albrecht | 3222902 | 3 | 02/05/2003 | Customer Dispute | Denied | $104,000.00 | $0.00 | See FINRA Report |
| James Carl Sprecher | 1579184 | 4 | 12/18/2002 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Howard Darrell Timberlake | 2544007 | 5 | 09/13/2002 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Joseph Alfred Ferron | 1432984 | 13 | 07/30/2002 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| David Keith Hays | 2434893 | 6 | 07/25/2002 | Customer Dispute | Withdrawn | $5,000.00 | $0.00 | See FINRA Report |
| Joseph Alfred Ferron | 1432984 | 13 | 07/10/2002 | Customer Dispute | Denied | $600,000.00 | $0.00 | See FINRA Report |
| Donald Ernest Leitzell | 1341171 | 3 | 06/10/2002 | Customer Dispute | Settled | $400,000.00 | $0.00 | See FINRA Report |
| James Carl Sprecher | 1579184 | 4 | 05/10/2002 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Arthur Alexander Castro | 2997776 | 4 | 04/22/2002 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Howard Darrell Timberlake | 2544007 | 5 | 04/15/2002 | Customer Dispute | Denied | $150,000.00 | $0.00 | See FINRA Report |