Kingswood Capital Partners

There are Recent Customer Complaints with Broker Matthew Nadeau in Firm Kingswood Capital Partners, LLC

August 19, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Nadeau (Nadeau), currently associated with Kingswood Capital Partners, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Nadeau 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 $150,000.00 on May 20, 2026.

-By engaging in the conduct described above, Respondent failed to act in the best interest of its client\,

Broker John Bliss in Kingswood Capital Partners, LLC Firm Has Customer Complaint

July 30, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 06, 2020.

The client alleges his Financial Professional failed to follow instructions to put on stop orders on positions resulting in losses.

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

July 8, 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 2 disclosable events. These events include 2 customer complaints, 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.

Broker Paul Lee in Kingswood Capital Partners, LLC Firm Has Customer Complaint

June 25, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Paul Lee (Lee), currently associated with Kingswood Capital Partners, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Lee 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 $50,000.00 on May 16, 2026.

Unsuitable recommendation.

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

June 14, 2026 | 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 $100,000.00 on April 23, 2026.

Boral Capital f/k/a Benchmark Investments Boral recommended the GWG L Bond and other alternative investments as a safe, suitable, low\<char_lb_r>\, risk, income producing investment. However, these alternative investments were not suitable for\<char_lb_r>\, [REDACTED] who was retired and looking to preserve his principal\<char_lb_r>\, Claimant stating investment was not suitable

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.