Award

25-00228 Kingswood Capital Partners, LLC v. Douglas Nelson

FINRA Dispute Resolution Services · Securities (FINRA) · United States · June 2, 2025

Why it matters

Kingswood Capital Partners, LLC v. Douglas Nelson, decided in FINRA arbitration. In this case Kingswood Capital Partners, LLC, a member firm, brought a claim against an individual (often a former employee or registered representative). For a student, it shows how FINRA arbitration works: the binding, largely private forum where the great majority of US securities disputes are resolved instead of the courts, with awards enforceable in court and open to challenge only on narrow grounds.

Summary

Kingswood Capital Partners, LLC v. Douglas Nelson: a FINRA arbitration award (case 25-00228), 05/19/2026. The panel's decision is set out in the award.

The detail

Parties: Kingswood Capital Partners, LLC v. Douglas Nelson

Case number: FINRA Case No. 25-00228

Outcome: Award for the claimant of $205,000.00.

Quantum: $205,000.00

Applicable law: FINRA Code of Arbitration Procedure; United States securities law; the parties' brokerage agreement.

Issues in play: An investor's or an industry member's claim, decided in FINRA's arbitration forum rather than the courts.

Read the full decision at FINRA Arbitration Awards Online

Locus Standi links to the source decision and publishes its own plain-language summary. It does not reproduce the text of the award.

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