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 |
|---|---|---|---|---|---|---|---|---|
| Jonathan David Diamond | 4702528 | 1 | 07/01/2008 | Customer Dispute | Settled | $400,000.00 | $0.00 | See FINRA Report |
| Eric Manuel Vallejo | 1754908 | 4 | 03/14/2008 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Brian Marcus Herman | 1927274 | 1 | 11/27/2006 | Customer Dispute | Award / Judgment | $100,000.00 | $25,000.00 | See FINRA Report |
| Cynthia A Pulver | 2679744 | 3 | 07/11/2006 | Customer Dispute | Denied | $13,500.00 | $0.00 | See FINRA Report |
| Thomas Edwards Grimm | 2702276 | 3 | 02/06/2006 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Henry Joseph O'Brien | 1158552 | 5 | 12/13/2005 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Thomas Edwards Grimm | 2702276 | 3 | 12/07/2005 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Kevin Matthew Beauchamp | 4509978 | 1 | 08/25/2005 | Customer Dispute | Denied | $7,800.00 | $0.00 | See FINRA Report |
| Henry Joseph O'Brien | 1158552 | 5 | 08/18/2005 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Steven George Collins | 1587182 | 8 | 07/26/2005 | Customer Dispute | Denied | $22,653.50 | $0.00 | See FINRA Report |