Kingswood Capital Partners

Broker Tyler Bashaw in Kingswood Capital Partners, LLC Firm Has Customer Complaint

April 28, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Tyler Bashaw (Bashaw), currently associated with Kingswood Capital Partners, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bashaw recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $40,000.00 on July 14, 2020.

Newbridge Securities Corporation is a named party of an arbitration with the allegation of negligence, breach of fiduciary duty, and negligent supervision. The registered representative, Tyler Bashaw, was not named in the arbitration and was only mentioned in the subject of the statement of claim.

There are Recent Customer Complaints with Broker Christopher Carolan in Firm Kingswood Capital Partners, LLC

April 16, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Carolan (Carolan), currently associated with Kingswood Capital Partners, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Carolan recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $56,463.30 on January 13, 2021.

Claimant alleges, unauthorized trading with respect to investments – Jun, 2012 – Sep, 2019

There are Recent Customer Complaints with Broker John Balmer in Firm Kingswood Capital Partners, LLC

April 12, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Balmer (Balmer), currently associated with Kingswood Capital Partners, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Balmer recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $100,000.00 on December 22, 2025.

Claimant complains of the acts of Respondent, KINGSWOOD CAPITAL PARTNERS, JOHN B. BALMER, collectively referred to herein as Respondents. As Public Investors, Claimant invokes the jurisdiction of the FINRA Dispute Resolution Services Division to have this claim for an aggregate between $100,000 and $500,000, plus interest and costs, heard before a Panel of THREE

There are Recent Customer Complaints with Broker Jeffrey Falke in Firm Kingswood Capital Partners, LLC

March 8, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Falke (Falke), currently associated with Kingswood Capital Partners, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Falke recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $75,000.00 on February 12, 2021.

Counsel for the customers alleges unsuitability with respect to preferred stocks.

Broker Mark Williams in Kingswood Capital Partners, LLC Firm Has Customer Complaint

March 5, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Williams (Williams), previously associated with Kingswood Capital Partners, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Williams recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $111,000.00 on December 19, 2025.

The customer alleges that on October 1, 2020, the Registered Representative recommended and misrepresented an unsuitable, speculative investment.

There are Recent Customer Complaints with Broker Conrad Branson in Firm Kingswood Capital Partners, LLC

January 12, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Conrad Branson (Branson), currently associated with Kingswood Capital Partners, LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Branson recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on August 23, 2022.

Without admitting or denying the findings, Branson consented to the sanctions and to the entry of findings that he engaged in unauthorized trading in customer accounts held by the same family. The findings stated that Branson effected unauthorized transactions in the accounts without the family’s prior authorization, knowledge, or consent for the trades. Branson’s member firm has compensated the family $78,919 for losses resulting from the unauthorized transactions. The findings also stated that Branson exercised discretionary authority in some of the family’s accounts without obtaining prior written authorization from the family and without having the accounts accepted as discretionary accounts by the firm. Branson also exercised discretionary authority in two other customers’ accounts without obtaining prior written authorization from the customers and without having the accounts accepted as discretionary accounts by the firm.

There are Recent Customer Complaints with Broker Mark Williams in Firm Kingswood Capital Partners, LLC

January 6, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Williams (Williams), previously associated with Kingswood Capital Partners, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Williams recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $1,000,000.00 on October 21, 2025.

The customers allege that the Registered Representative recommended and misrepresented unsuitable, high-risk, speculative and illiquid investments and breached his fiduciary duty. No specific dates for the alleged activity were identified in the Statement of Claim.

Broker Gregory Richards in Kingswood Capital Partners, LLC Firm Has Customer Complaint

December 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gregory Richards (Richards), currently associated with Kingswood Capital Partners, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Richards recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $175,000.00 on October 23, 2025.

Claimant alleges that the RR recommended and misrepresented an unsuitable, high-risk investment and breached his fiduciary duty.

Broker Gregory Richards in Kingswood Capital Partners, LLC Firm Has Customer Complaint

October 16, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gregory Richards (Richards), currently associated with Kingswood Capital Partners, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Richards recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $300,000.00 on April 03, 2025.

The customers allege that the Registered Representative recommended and misrepresented an unsuitable, high-risk and illiquid investment and breached his fiduciary duty.

There are Recent Customer Complaints with Broker Phillip Anderson in Firm Kingswood Capital Partners, LLC

August 24, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Phillip Anderson (Anderson), previously associated with Kingswood Capital Partners, LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Anderson recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on May 13, 2025.

Without admitting or denying the findings, Anderson consented to the sanctions and to the entry of findings that he made recommendations to senior retail customers that were unsuitable based on the customers’ investment profiles by recommending that that they invest in speculative, unrated corporate bonds. The findings stated that Anderson’s recommendations to the customers resulted in at least 96 percent and 35 percent of their respective net worth, not including primary residence, being invested in the bonds. Anderson earned a total of $8,280 in commissions in connection with these recommendations. A customer and a beneficiary of the other customer each brought and settled an arbitration against Anderson’s member firm relating to the bond investments.