Kingswood Capital Partners

Broker Joseph Smith in Kingswood Capital Partners, LLC Firm Has Customer Complaint

July 14, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on August 04, 2023.

BREACH OF CONTRACT, VIOLATION OF STATE SECURITIES STATUTES, BREACH OF FIDUCIARY DUTY, CLAIMS UNDER COMMON LAW AND VICARIOUS LIABILITY.

Broker Robert Rasbach in Kingswood Capital Partners, LLC Firm Has Customer Complaint

July 6, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Rasbach (Rasbach), currently associated with Kingswood Capital Partners, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Rasbach 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 $500,000.00 on October 02, 2023.

Allegation period: October 1, 2014 the date of the first purchase of SOAEX to October 2, 2023 the date the SOC was received. Allegations: Robert Rasbach U5 – E11, E12, SOAEX – unsuitability, misrepresentation/omission.

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

April 20, 2025 | 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 3 disclosable events. These events include 3 customer complaints, 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 $546,000.00 on July 26, 2024.

The customers allege that during the period of early 2019 through February 2021, the Registered Representative withheld material facts and recommended unsuitable, high-risk, speculative, illiquid investments and breached his fiduciary duty.