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 |
|---|---|---|---|---|---|---|---|---|
| Eric Stanley Springer | 1627822 | 4 | 04/05/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Justin Louis Vaccaro | 5434168 | 5 | 04/03/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Justin Louis Vaccaro | 5434168 | 5 | 04/03/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Leslie Ann Valant | 4849186 | 1 | 02/23/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Scott Christopher Jackson | 4443921 | 3 | 12/05/2016 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| Dorothea Sue Cole | 3208277 | 4 | 11/14/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Saralyn R Rickman | 2423742 | 2 | 10/14/2016 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jay Thomas Stueber | 5521204 | 2 | 09/09/2016 | Customer Dispute | Denied | $6,052.43 | $0.00 | See FINRA Report |
| Jeffrey Steven Emmeluth | 4997025 | 3 | 05/31/2016 | Customer Dispute | Denied | $30,000.00 | $0.00 | See FINRA Report |
| Jeffrey Steven Emmeluth | 4997025 | 3 | 05/31/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |