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 |
|---|---|---|---|---|---|---|---|---|
| Danny Thomas Ossi | 2701406 | 5 | 04/04/2002 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Edward Leonard Fredericks | 1095689 | 6 | 01/29/2002 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Paul Richard Quinn | 2909821 | 4 | 09/17/2001 | Customer Dispute | Denied | $30,000.00 | $0.00 | See FINRA Report |
| Tim Russell Gerds | 2651778 | 9 | 07/30/2001 | Customer Dispute | Denied | $9,009.71 | $0.00 | See FINRA Report |
| Robert Andrew Kopp | 1059290 | 3 | 07/18/2001 | Customer Dispute | Closed-No Action | $25,000.00 | $0.00 | See FINRA Report |
| Arthur Alexander Castro | 2997776 | 4 | 07/05/2001 | Customer Dispute | Settled | $82,500.00 | $0.00 | See FINRA Report |
| Robert Andrew Kopp | 1059290 | 3 | 03/12/2001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Kevin Mark Nast | 2704544 | 2 | 11/21/2000 | Customer Dispute | Settled | $40,000.00 | $0.00 | See FINRA Report |
| Edward Leonard Fredericks | 1095689 | 6 | 10/20/2000 | Customer Dispute | Settled | $20,000.00 | $0.00 | See FINRA Report |
| Dianne Perry Odom | 3111823 | 3 | 06/19/2000 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |