Eric Scott Felsenfeld, of Rockville, Maryland, a stockbroker registered with Kingswood Capital Partners LLC, was the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim that was settled for $26,406.67 in damages based upon allegations that Felsenfeld made misrepresentations of material fact, failed to perform due diligence, and made…
Richard S. Siminou of New York, New York, a stockbroker previously associated with Newbridge Securities Corporation, has been fined $5,000.00 and suspended for four months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Siminou engaged in excessive and unsuitable trading during the time that he was associated with Newbridge…
William Robert Young (also known as Bill Young) of Rockville Maryland a stockbroker and investment adviser representative of Kingswood Capital Partners LLC is the subject of a customer initiated investment related complaint on October 1, 2020 in which the customer sought more than $5,000.00 in damages supported by accusations that the customer had been sold…