Public 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.
In April 2018 a customer alleged William Koenig, while employed at JW Cole Financial, over-concentrated her monies in a risky and unsuitable product. The customer is seeking $100,000 in damages in the pending complaint.
In 2007 a customer alleged William Koenig, while employed at Raymond James Financial Services, breached his fiduciary duty, breached contract, failed in his supervisory duties, misrepresented material facts, executed unauthorized trades, and mismanaged the account. The complaint settled for $9,999.
In 2007 a customer alleged William Koenig, while employed at Raymond James Financial Services, recommended unsuitable investments, failed in his supervisory duties, breached his fiduciary duty, breached contract, misrepresented material facts, executed unauthorized trades, acted negligently, and committed fraud. The complaint settled for $18,750.
In 2004 a customer alleged he, while employed at Raymond James Financial Services, breached contract and third party contracts, breached his fiduciary duty, fraudulently misrepresented material facts, negligently misrepresented material facts, and acted negligently. The complaint resulted in an award to the customer of $240,000.
If you or someone you know has lost money investing with William Koenig, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup your losses. Fitapelli Kurta accepts all cases on a contingency basis: we only get paid if and when you collect money. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.