AGGRESSIVE ADVOCACY. UNPARALLELED SERVICE.
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
JOSHUA DAVID NICHOLAS (CRD #6529944, STUART, FLORIDA) January 24, 2022 – An AWC was issued in which Nicholas was barred from association with any FINRA
In a bombshell decision, Atlanta’s Fulton County Superior Court has vacated an arbitration award to Wells Fargo Advisors LLC and Wells Fargo Clearing Services LLC
COURTNEY MICHELLE KAPLAN (CRD #5249375, PALM HARBOR, FLORIDA) September 30, 2021 – An AWC was issued in which Kaplan was barred from association with any
WILLIAM EDWARDS ELLIS (CRD #6770635, WESTLAKE, TEXAS) May 25, 2021 – An AWC was issued in which Ellis was barred from association with any FINRA
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019062922001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Raymond Alagao Velasco,
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020068649401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jason V. McHenry
