Securities Lawyers Blog
The investment fraud lawyers at Gana Weinstein LLP represent investors nationwide in FINRA arbitration claims against brokerage firms such as Kingswood Capital Partners, LLC. Retirement account losses, structured product losses, private placement losses, and losses in non-traded REITs and other alternative investments are frequently the result of unsuitable recommendations rather than ordinary market risk. Our attorneys can analyze your investments, determine whether your broker or financial advisor acted improperly, and pursue recovery of your losses.
Kingswood Capital Partners is a broker-dealer offering wealth management, investment banking for middle-market and emerging companies, equity research and support for independent financial advisors. Organized in Nevada in 2016 and headquartered in San Diego, California, the firm also does business as Kingswood Investments and is part of the international Kingswood wealth group.
Kingswood Capital Partners, LLC – By the Numbers:
- CRD #: 288898
- Regulatory Events: 1
- Broker Employees: 205
Kingswood Capital Partners, LLC – In the News:
FINRA v. Kingswood Capital Partners, LLC (Case #2020068830202) – From March 2019 through June 2019, Kingswood failed to reasonably supervise a former registered representative’s recommendations of illiquid alternative investments to three senior customers. Kingswood also failed to establish and maintain written procedures reasonably designed to achieve compliance with suitability requirements with respect to those alternative investments. Kingswood therefore violated FINRA Rules 3110 and 2010. For these violations, Kingswood is censured and fined $150,000.
Gana Weinstein LLP has successfully litigated broker disputes through verdict or settlement. We represent both individuals and institutions throughout the country in FINRA arbitration, as well as commercial litigation in state and federal courts. If you have concerns about your accounts at Kingswood Capital Partners, LLC, our consultations are both free and thorough and our securities litigation attorneys can help you uncover wrongful activity in your account.