Articles Tagged with Mark Williams

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.

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.

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.