J.W. Cole Financial

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

August 27, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on July 12, 2023.

Claim filed by the successor trustee of the (now deceased) client’s trust. Statement of Claim alleges representatives violated Regulation Best Interest and liquidated a conservative, low risk portfolio to purchase highly speculative, risky mutual funds with high front-end sales charges.

Broker Robert Mills in J.w. Cole Financial, INC. Firm Has Customer Complaint

August 26, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Mills (Mills), previously associated with J.w. Cole Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Mills 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 $18,100.00 on July 16, 2023.

Customer alleged that positions transferred into their account were liquidated when they should have been transferred in-kind.

Broker Brian Hamm in J.w. Cole Financial, INC. Firm Has Customer Complaint

August 5, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on June 27, 2025.

Trustee alleges that the financial professional provided inaccurate advice regarding disbursement of funds from the trust causing additional tax liabilities.

Broker Brian Hamm in J.w. Cole Financial, INC. Firm Has Customer Complaint

July 30, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on June 27, 2025.

Trustee alleges that the financial professional provided inaccurate advice regarding disbursement of funds from the trust causing additional tax liabilities.

Broker Stephen Swensen in J.w. Cole Financial, INC. Firm Has Customer Complaint

June 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stephen Swensen (Swensen), previously associated with J.w. Cole Financial, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Swensen 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 $14,400,000.00 on February 26, 2024.

Allegations against the Firm by claimants for failing to detect an alleged fraud operated away from the Firm, perpetrated by the former representative, who was affiliated with the Firm for less than two months, outside the scope of his activities with the Firm, regarding investments Claimants made with the representative after he left the Firm.

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

June 4, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Philip Rulon (Rulon), previously associated with J.w. Cole Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Rulon 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 $93,000.00 on February 07, 2024.

Beneficiaries on behalf of the client allege improper investments and fees.

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

May 22, 2025 | by Staff Attorney

The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Doran James (James), currently employed by J.w. Cole Financial, INC. has been subject to at least 3 disclosable events. These events include 3 customer complaints. According to records kept by The Financial Industry Regulatory Authority (FINRA), James’s most recent customer complaint alleges that James recommended unsuitable investments in structured products and makes allegations concerning misconduct relating to the handling of the customer’s accounts.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $154,957.00 on December 04, 2024.

Claimants allege their financial professional could not sell their structured notes prior to maturity which caused themalleged damages. Time period: December 2022 – January 2023

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

May 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Rebecca Gaylor (Gaylor), currently 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 $30,000.00 on March 07, 2025.

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

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

April 16, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ryan Mcclelland (Mcclelland), currently associated with J.w. Cole Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Mcclelland 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 $50,000.00 on February 19, 2025.

Customer alleged that the investment advisor representative did not execute a trade and as a result the customer was unable to participate in market gains.

There are Recent Customer Complaints with Broker Jason Kimber in Firm J.w. Cole Financial, Inc.

March 15, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jason Kimber (Kimber), currently associated with J.w. Cole Financial, Inc., has at least 6 disclosable events. These events include 6 customer complaints, alleging that Kimber 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 $1,000,000.00 on October 03, 2024.

Customers allege that the Firm failed to detect an alleged fraud operated by a now deceased representative away from the Firm. The deceased representative, that is the subject of the complaint, was with the Firm for less than two months and Customers’ alleged purchases of the investments at issue occurred at various times while he was affiliated with differing firms. Customers allege that the Registered Representative was involved in the activities that occurred away from the Firm.