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 |
|---|---|---|---|---|---|---|---|---|
| Cynthia A Pulver | 2679744 | 3 | 12/19/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Matthew J Nielsen | 2762423 | 7 | 10/22/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Bradley Seth Mayer | 4034321 | 10 | 09/27/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Douglas Blake Solinsky | 4715268 | 8 | 09/25/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Ariel Aponte | 5362367 | 2 | 08/09/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Norman Lee Anderson | 843908 | 1 | 08/07/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Ariel Aponte | 5362367 | 2 | 05/17/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Matthew J Nielsen | 2762423 | 7 | 04/26/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Robert Nelson Rasbach | 1204704 | 4 | 04/24/2018 | Customer Dispute | Denied | $14,820.00 | $0.00 | See FINRA Report |
| Frank John Pasquale | 5296369 | 1 | 03/23/2018 | Customer Dispute | Settled | $400,000.00 | $0.00 | See FINRA Report |