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 |
|---|---|---|---|---|---|---|---|---|
| Robert Eran Shelton | 4902355 | 1 | 01/18/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Richard Scott Ramsay | 4512644 | 2 | 12/14/2017 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Craig Anthony Rosenberg | 1589322 | 2 | 10/24/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Justin Louis Vaccaro | 5434168 | 5 | 10/03/2017 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Justin Louis Vaccaro | 5434168 | 5 | 09/26/2017 | Customer Dispute | Pending | $195,000.00 | $0.00 | See FINRA Report |
| Paul Mario Avila | 1816504 | 1 | 09/23/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| David William Dalton | 4918224 | 2 | 06/12/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David William Dalton | 4918224 | 2 | 05/02/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Christopher Joseph Conner | 1412824 | 1 | 05/02/2017 | Customer Dispute | Settled | $20,000.00 | $0.00 | See FINRA Report |
| Dorothea Sue Cole | 3208277 | 4 | 04/20/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |