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 |
|---|---|---|---|---|---|---|---|---|
| Matthew J Nielsen | 2762423 | 7 | 03/17/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Alan Frank Pacella | 1689031 | 2 | 09/08/2009 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Henry Joseph O'Brien | 1158552 | 5 | 08/26/2009 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Henry Joseph O'Brien | 1158552 | 5 | 08/12/2009 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Robert A Brewer | 2285559 | 3 | 06/29/2009 | Customer Dispute | Settled | $133,000.00 | $0.00 | See FINRA Report |
| Robert A Brewer | 2285559 | 3 | 02/17/2009 | Customer Dispute | Settled | $40,000.00 | $0.00 | See FINRA Report |
| Steven George Collins | 1587182 | 8 | 11/03/2008 | Customer Dispute | Denied | $10,000.00 | $0.00 | See FINRA Report |
| Steven George Collins | 1587182 | 8 | 10/13/2008 | Customer Dispute | Closed-No Action | $70,843.10 | $0.00 | See FINRA Report |
| Gregory John Richards | 1339012 | 7 | 08/15/2008 | Customer Dispute | Settled | $8,489.00 | $0.00 | See FINRA Report |
| Eric Manuel Vallejo | 1754908 | 4 | 07/25/2008 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |