Securities Lawyers Blog
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.