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 agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
In FINRA arbitration 21-02645, a customer of J. W. Cole Financial, Inc., alleged unsuitability in two non-traded REITs. The case was settled for $35,000 in 11/2022, all of which was paid by Ketcher individually.
Ketcher has been with J. W. Cole Financial, Inc., since May of 2013. Before that time he with Financial Advisors of America and Mutual Service Corporation. Ketcher is also a registered investment advisor with New Era Financial Advisors.
If you have losses in an account handled by Shad Ketcher , contact us for a no charge consultation to learn how you may be able to recover damages through FINRA arbitration.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney, at no cost to you.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
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