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 |
|---|---|---|---|---|---|---|---|---|
| Adam Brian Hartung | 4139376 | 1 | 04/24/2020 | Customer Dispute | Denied | $20,000.00 | $0.00 | See FINRA Report |
| Harry Dejesus Toro | 2861845 | 1 | 03/16/2020 | Customer Dispute | Denied | $21,647.20 | $0.00 | See FINRA Report |
| John Anthony Michalak | 4293554 | 1 | 03/13/2020 | Customer Dispute | Denied | $12,000.00 | $0.00 | See FINRA Report |
| Curtis Lee Yourkievitz | 4903858 | 3 | 02/28/2020 | Customer Dispute | Denied | $7,000.00 | $0.00 | See FINRA Report |
| Steven Michael Richardson | 2774988 | 1 | 02/14/2020 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Karen Elizabeth Vaught | 6614508 | 1 | 02/02/2020 | Customer Dispute | Settled | $7,800.00 | $0.00 | See FINRA Report |
| Kevin Glenn Ford | 2992625 | 2 | 01/13/2020 | Customer Dispute | Denied | $60,000.00 | $0.00 | See FINRA Report |
| Ryan McClure Newton | 4679878 | 1 | 09/05/2019 | Customer Dispute | Settled | $40,000.00 | $0.00 | See FINRA Report |
| Keith Leon Glaser | 4437077 | 6 | 07/08/2019 | Customer Dispute | Settled | $11,137.90 | $0.00 | See FINRA Report |
| Tim Russell Gerds | 2651778 | 9 | 06/17/2019 | Customer Dispute | Closed-No Action | $90,000.00 | $0.00 | See FINRA Report |