J.W. Cole Financial

There are Recent Customer Complaints with Broker Desmond Clark in Firm J.w. Cole Financial, INC.

April 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Desmond Clark (Clark), previously associated with J.w. Cole Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Clark recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $50,000.00 on July 20, 2020.

Claimants allege unsuitable alternative investments. The account was opened in 2014.

Broker Rebecca Gaylor in J.w. Cole Financial, INC. Firm Has Customer Complaint

April 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Rebecca Gaylor (Gaylor), previously associated with J.w. Cole Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Gaylor recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $300,000.00 on February 11, 2026.

Trustees alleged breach of fiduciary duty, unsuitable recommendation, and misrepresentation of investment regarding an oil and gas limited partnership purchased thirteen years ago.

There are Recent Customer Complaints with Broker Ronald Hoyle in Firm J.w. Cole Financial, INC.

March 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ronald Hoyle (Hoyle), currently associated with J.w. Cole Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Hoyle recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $400,000.00 on October 05, 2020.

Client alleges misrepresentation of investments sold by RR.

Broker Tim Gerds in J.w. Cole Financial, INC. Firm Has Customer Complaint

February 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Tim Gerds (Gerds), currently associated with J.w. Cole Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Gerds recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $150,000.00 on March 09, 2021.

Customer alleged unauthorized sale of stock to purchase fixed annuity and unjustified advisory fees charged with limited trading in managed accounts.

Broker Allyson Trantum in J.w. Cole Financial, INC. Firm Has Customer Complaint

February 26, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Allyson Trantum (Trantum), currently associated with J.w. Cole Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Trantum recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $2,000,000.00 on March 12, 2021.

Client completed paperwork to surrender annuity in response to buyout offer from VA sponsor and alleges she did not wish to surrender the annuity and is seeking lost lifetime income guarantees.

Broker Alan Kasser in J.w. Cole Financial, INC. Firm Has Customer Complaint

January 29, 2026 | by Staff Attorney

Currently financial advisor Alan Kasser (Kasser), currently employed by brokerage firm J.w. Cole Financial, INC. has been subject to at least one disclosable event. These events include one customer complaint. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such as direct participation products (DPPs) like business development companies (BDCs), non-traded real estate investment trusts (REITs), oil & gas programs, annuities, and private placements. The attorneys at Gana Weinstein LLP have represented hundreds of investors who suffered losses caused by these types of high risk, low reward products.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $75,000.00 on August 02, 2021.

Clients allege REITs purchased were unsuitable

Broker Sean Burr in J.w. Cole Financial, INC. Firm Has Customer Complaint

January 27, 2026 | by Staff Attorney

Currently financial advisor Sean Burr (Burr), currently employed by brokerage firm J.w. Cole Financial, INC. has been subject to at least one disclosable event. These events include one customer complaint. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such as direct participation products (DPPs) like business development companies (BDCs), non-traded real estate investment trusts (REITs), oil & gas programs, annuities, and private placements. The attorneys at Gana Weinstein LLP have represented hundreds of investors who suffered losses caused by these types of high risk, low reward products.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $90,000.00 on August 23, 2021.

Clients alleged REITs purchased were unsuitable

Broker Gloria Lakritz in J.w. Cole Financial, INC. Firm Has Customer Complaint

January 22, 2026 | by Staff Attorney

Previously financial advisor Gloria Lakritz (Lakritz), previously employed by brokerage firm J.w. Cole Financial, INC. has been subject to at least one disclosable event. These events include one customer complaint. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such as direct participation products (DPPs) like business development companies (BDCs), non-traded real estate investment trusts (REITs), oil & gas programs, annuities, and private placements. The attorneys at Gana Weinstein LLP have represented hundreds of investors who suffered losses caused by these types of high risk, low reward products.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $100,000.00 on September 30, 2021.

Client alleges REITs purchased were unsuitable.

Broker Malcolm Mckay in J.w. Cole Financial, INC. Firm Has Customer Complaint

January 16, 2026 | by Staff Attorney

Currently financial advisor Malcolm Mckay (Mckay), currently employed by brokerage firm J.w. Cole Financial, INC. has been subject to at least one disclosable event. These events include one customer complaint. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such as direct participation products (DPPs) like business development companies (BDCs), non-traded real estate investment trusts (REITs), oil & gas programs, annuities, and private placements. The attorneys at Gana Weinstein LLP have represented hundreds of investors who suffered losses caused by these types of high risk, low reward products.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $100,000.00 on November 26, 2021.

Clients allege REITs purchased were unsutable.

Broker Scott Smith in J.w. Cole Financial, INC. Firm Has Customer Complaint

January 10, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Scott Smith (Smith), previously associated with J.w. Cole Financial, INC., has at least 3 disclosable events. These events include one customer complaint, 2 regulatory events, alleging that Smith recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on March 08, 2024.

As a result of the investment advisor’s previous FINRA suspension and monetary penalty, the state of California is placing a restriction on the investment advisor’s business activities for a period of two years through an ‘Agreement of Undertaking for Investment Advisory Representative’s Employment in California’.