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 |
|---|---|---|---|---|---|---|---|---|
| Gregory John Richards | 1339012 | 7 | 05/15/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Richard S Siminou | 5605796 | 5 | 05/11/2023 | Customer Dispute | Settled | $175,000.00 | $0.00 | See FINRA Report |
| Gregory John Richards | 1339012 | 7 | 04/14/2023 | Customer Dispute | Settled | $499,999.00 | $0.00 | See FINRA Report |
| Gregory John Richards | 1339012 | 7 | 12/29/2022 | Customer Dispute | Settled | $550,000.00 | $0.00 | See FINRA Report |
| Gregory John Richards | 1339012 | 7 | 07/06/2022 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Robert Nelson Rasbach | 1204704 | 4 | 04/25/2022 | Customer Dispute | Settled | $499,000.00 | $0.00 | See FINRA Report |
| Mark John Williams | 4061842 | 6 | 04/05/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Mark John Williams | 4061842 | 6 | 03/21/2022 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Daniel M King | 5954543 | 5 | 03/01/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Christopher Brian Carolan | 4402629 | 1 | 01/13/2021 | Customer Dispute | Settled | $56,463.30 | $0.00 | See FINRA Report |