Articles Tagged with JW Cole Financial

William KoenigPublic records published by the Financial Industry Regulatory Authority (FINRA) on May 16, 2018 indicate that Florida-based JW Cole Financial broker/adviser William Koenig has been involved in resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Koenig (CRD# 1507868).

William Koenig has spent 31 years in the securities industry and has been registered with JW Cole Financial in Spring Hill, Florida since 2009. Previous registrations include Raymond James Financial Services in Spring Hill, Florida (2000-2009); AG Edwards & Sons in St. Louis, Missouri (1988-2000); Fitzgerald Dearman & Roberts (1987-1990); and the Stuart-James Company (1987). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on July 9, 1987; Series 7 (General Securities Representative Examination), which he obtained on May 16, 1987; and Series 24 (General Securities Principal Examination), which he obtained on February 21, 2001. He is a registered broker and investment adviser with four US states: Florida, Illinois, New Jersey, and New York.

According to his BrokerCheck report, he has received three customer complaints and one pending customer complaint.

Michael GreerPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on January 25, 2017 indicate that former Virginia-based JW Cole Financial broker/adviser Michael Greer has been sanctioned by FINRA in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Greer (CRD# 5083519).

Michael Greer has spent nine years in the securities industry and was most recently registered with JW Cole Financial in Mechanicsville, Virginia (2015-2016). Previous registrations include FSC Securities Corporation in Mechanicsville, Virginia (2014-2015); Securities America in Mechanicsville, Virginia (2013-2014); FSC Securities Corporation in Mechanicsville, Virginia (2011-2013); LPL Financial in Mechanicsville, Virginia (2009-2011); and Edward Jones in Mechanicsville, Virginia (2006-2009). He has passed four securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on March 23, 2007; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on March 17, 2006; Series 7 (General Securities Representative Examination), which he obtained on March 13, 2006; and Series 24 (General Securities Principal Examination), which he obtained on December 27, 2010. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has been sanctioned by FINRA and discharged from two former employees in connection to alleged rule violations.

Paul Avila

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on January 8, 2018 indicate that California-based JW Cole Financial broker/adviser Paul Avila was recently discharged from his former employer in connection to alleged rule violations. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Avila (CRD# 1816504).

Paul Avila has spent 28 years in the securities industry and has been registered with JW Cole Financial in San Juan Capistrano, California since December 2017. Previous registrations include LPL Financial in Irvine, California (1999-2017); Banc of America Investment Services in Boston, Massachusetts (1999); BA Investment Services in Oakland, California (1992-1999); GNA Securities in Richmond, Virginia (1990-1992); and Dean Witter Reynolds in Purchase, New York (1989-1990). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on April 7, 1998; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on April 20, 1989; Series 7 (General Securities Representative Examination), which he obtained on March 18, 1989; and Series 24 (General Securities Principal Examination), which he obtained on January 28, 2000. He is a registered broker and investment advisre with two US states (California and Minnesota) and one self-regulatory organization (SRO): FINRA.

According to his BrokerCheck report, he was discharged from his former employer in connection to alleged misconduct.

Justin Vaccaro

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on December 6, 2017 indicate that Oregon-based JW Cole Financial broker/adviser Justin Vaccaro has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Vaccaro (CRD# 5434168).

Justin Vaccaro has spent ten years in the securities industry and has been registered with JW Cole Financial in Eugene, Oregon since May 2017. Previous registrations include Raymond James Financial Services in Eugene, Oregon (2009-2017) and RBC Capital Markets in Eugene, Oregon (2007-2009). He has passed three securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on December 21, 2007; Series 7 (General Securities Representative Examination), which he obtained on December 6, 2007; and Series 24 (General Securities Principal Examination), which he obtained on March 21, 2015. He is a registered broker and investment adviser with eight US states and territories: Arizona, California, Colorado, Idaho, Iowa, New Hampshire, Oregon and Washington.

According to his BrokerCheck report, he has received one customer complaint and two pending customer complaints, and he was discharged from a former employer in connection to alleged rule violations.

Sylvia PerezPublicly available records published by the Financial Industry Regulatory Authority (FINRA) on June 12, 2017 indicate that Louisiana-based JW Cole Financial broker Sylvia Perez has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Ms. Perez (CRD# 1558521).

Sylvia Perez has spent 30 years in the securities industry and has been registered with JW Cole Financial in Lafayette, Louisiana since 2014. Previous registrations include Dalton Strategic Investment Services in Lafayette, Louisiana; First Midwest Securities in Lafayette, Louisiana; American Investment Services in Oklahoma City, Oklahoma; Locust Street Securities in Des Moines, Iowa; MetLife Securities in Springfield, Massachusetts; and Metropolitan Life Insurance Company in New York, New York. She is a registered broker with three US states: Louisiana, Mississippi, and Texas.

According to her BrokerCheck report, she has received one customer complaint, one pending customer complaint and one regulatory sanction.

David HaysPublic records published by the Financial Industry Regulatory Authority (FINRA) on September 28, 2016 indicate that Indiana-based JW Cole Financial broker/adviser David Hays has been the subject of a customer complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Hays (CRD# 2434893).

David Hays has spent 22 years in the securities industry and has been registered with JW Cole Financial in Bloomington, Indiana since 2013. Previous registrations include Sammons Securities Company in Bloomington, Indiana; FSC Securities in Atlanta, Georgia; Ascend Financial Services in St. Paul, Minnesota; and New England Securities in New York, New York. He is a registered broker and investment adviser with eight US states: California, Florida, Illinois, Indiana, Kansas, Kentucky, New York, and Ohio.

According to his BrokerCheck report, David Hays has received one customer complaint and one pending customer complaint. He was also discharged from his position at Sammons Securities.