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 |
|---|---|---|---|---|---|---|---|---|
| Thomas A Dirscherl | 7005174 | 1 | 06/04/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jennifer Jack | 6894790 | 1 | 05/23/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Stuart Blaine Rodwell | 2300397 | 1 | 03/31/2019 | Customer Dispute | Settled | $24,195.00 | $0.00 | See FINRA Report |
| Wesley Christopher Reed | 4854037 | 1 | 03/29/2019 | Customer Dispute | Denied | $16,300.00 | $0.00 | See FINRA Report |
| Brent Robert Broaddus | 4875940 | 3 | 03/20/2019 | Customer Dispute | Settled | $154,052.00 | $0.00 | See FINRA Report |
| Leo Bartlett Goodin | 3165302 | 1 | 01/09/2019 | Customer Dispute | Settled | $750,000.00 | $0.00 | See FINRA Report |
| Brent Robert Broaddus | 4875940 | 3 | 08/24/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Don Wesley Salter | 2218601 | 2 | 06/30/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Richard C Roby | 4985392 | 1 | 03/09/2018 | Customer Dispute | Denied | $23,000.00 | $0.00 | See FINRA Report |
| Allyson Jo Trantum | 2896970 | 2 | 02/23/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |