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 |
|---|---|---|---|---|---|---|---|---|
| Edward Leonard Fredericks | 1095689 | 6 | 05/11/2000 | Customer Dispute | Denied | $27,000.00 | $0.00 | See FINRA Report |
| Eric Stanley Springer | 1627822 | 4 | 06/01/1999 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Howard Darrell Timberlake | 2544007 | 5 | 09/22/1998 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Larry Naoki Nemoto | 2642611 | 1 | 04/01/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Anthony Norman Ray | 1269062 | 1 | 08/12/1996 | Customer Dispute | Settled | $15,000.00 | $0.00 | See FINRA Report |
| Saralyn R Rickman | 2423742 | 2 | 07/17/1996 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Joseph Alfred Ferron | 1432984 | 13 | 11/25/1995 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Joseph Alfred Ferron | 1432984 | 13 | 10/26/1995 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Malcolm Scott McKay | 2605922 | 5 | 10/10/1995 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Joseph Alfred Ferron | 1432984 | 13 | 09/01/1995 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |