Shad Ketcher Investigation May 2022-Hutchinson, MN The FINRA records of Shad Ketcher, a J. W. Cole Financial, Inc. broker disclose settlement of a customer dispute. The Financial Industry Regulatory Authority (FINRA) is the…
read moreWalter Reyna Investigation September 2022- McAllen, Texas According to FINRA records, Walter J. Reyna , a former Lincoln Financial Securities broker discloses two recently filed arbitrations by customers seeking damages for losses on…
read moreTony Lofaso Investigation July 2022- West Palm Beach, FL According to FINRA records, Tony Lofaso , a J.W. Cole Financial, Inc., broker discloses a recently settled customer dispute. The Financial Industry Regulatory…
read moreVince Mastrovito Investigation March 2022- Charlevoix, MI The FINRA records of Vince Mastrovito, a broker who formerly worked for J.W. Cole Financial, Inc. and Cambridge Investment Research disclose 2 pending customer…
read moreFebruary 2019-Wimberley, Texas The FINRA records of William (Bill) Glenn Downing , a former stock broker who was last employed by Coastal Equities Inc. disclose a prior regulator event, a pending customer dispute,…
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