Our Staff has compiled our research into a database of FINRA Broker Disclosures for Kingswood Capital Partners, LLC. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Mark John Williams | 4061842 | 6 | 07/26/2024 | Customer Dispute | Pending | $546,000.00 | $0.00 | See FINRA Report |
| Mark John Williams | 4061842 | 6 | 03/04/2024 | Customer Dispute | Pending | $300,000.00 | $0.00 | See FINRA Report |
| Daniel M King | 5954543 | 5 | 01/02/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Mark John Williams | 4061842 | 6 | 12/18/2023 | Customer Dispute | Pending | $598,955.00 | $0.00 | See FINRA Report |
| Lacey E Buteyn | 4420482 | 2 | 11/03/2023 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Robert Nelson Rasbach | 1204704 | 4 | 10/02/2023 | Customer Dispute | Pending | $500,000.00 | $0.00 | See FINRA Report |
| Richard S Siminou | 5605796 | 5 | 09/18/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Richard S Siminou | 5605796 | 5 | 08/31/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Richard S Siminou | 5605796 | 5 | 08/31/2023 | Customer Dispute | Pending | $9,380.04 | $0.00 | See FINRA Report |
| Daniel M King | 5954543 | 5 | 08/21/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |