Karen Elizabeth Vaught (CRD#6614508) and J.W. COLE FINANCIAL, INC.

The Securities Lawyers at Halling & Cayo, S.C. are looking into potential claims against Karen Elizabeth Vaught (CRD#6614508) regarding allegations made regarding the following:

Claim(s) Made Against Karen Elizabeth Vaught:

Claim Date: 2/2/2020

“Client alleges financial advisor did not inform her of the tax implications associated with the August 2019 mutual fund exchanges.”

This claim, as of this posting, is currently Settled with a claim amount of $7,800.00 .

The investor was paid $5,500.00 by the brokers’ firm.

See more information on FINRA’s BrokerCheck site for Karen Elizabeth Vaught.

Were you a customer of Karen Elizabeth Vaught?

The Securities Lawyers have recovered millions of dollars for investors across the country and are currently investigating the possibility of bringing claims on behalf of individual or group investors who have suffered losses. If you were a customer of Karen Elizabeth Vaught and J.W. COLE FINANCIAL, INC. and experienced investment losses, please contact the Securities Lawyers. We only receive payment if we are able to recover your money, and you may be eligible for financial compensation. It is important to note that there may be time limits or statutes of limitations that apply to your claim, so it is crucial to speak with an attorney as soon as possible.

If you were a client of Karen Elizabeth Vaught and J.W. COLE FINANCIAL, INC. from Big Pine Key, FL and had a negative experience, we are interested in discussing the possibility of pursuing a claim on your behalf. Brokerage firms are responsible for overseeing the actions of their registered representatives and must ensure that their financial advisors comply with all relevant regulations and company policies. The brokerage firm may be held liable for any investment losses suffered by customers due to their failure to properly supervise their agents, such as Karen Elizabeth Vaught. The Securities Lawyers at Halling & Cayo, S.C. have helped investors recover millions of dollars in the past.

Contact The Securities Lawyers


Sean M. Sweeney is a shareholder at Halling and Cayo, a full service law firm in Milwaukee, WI and the head of its Securities Litigation team.

He represents individual and institutional investors in FINRA arbitration and court nationwide. He recovers investment losses from fraud or breach of duty from their broker-dealer.

Contact him at (414) 755-5020 or via e-mail at SMS@hallingcayo.com to see if he can help recover your funds.