J.W. Cole Financial, Inc. | FINRA Disciplinary Action

March 29, 2021

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019061764801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: J.W. Cole Financial, Inc., Respondent Member Firm CRD No. 124583 Pursuant to FINRA Rule 9216, Respondent J.W. Cole Financial, Inc. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Case ID Number: 2019061764801

Securities America, Inc. | FINRA Disciplinary Action
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