ARBchek - Arbitrator Research Base

1. Vouis v. Wilmington Capital FINRA ID #23-03387 (Los Angeles, CA, 2024-12-23) – An All-Public Panel grants Respondents Pre-Hearing Motion to Dismiss without prejudice pursuant to FINRA Rule 12206 of the Code (Six-year Eligibility Rule) after finding the Customer's claims to be ineligible for arbitration as more than six years have passed since the event giving rise to the issues in dispute.

2. Mathis v. Wells Fargo FINRA ID #23-02271 (Atlanta, GA, 2024-12-26) – A customer (as Executor of an Estate) alleging elder abuse among other claims is awarded over $3.3 million in compensatory damages as well as nearly $18 thousand in expert witness fees relating to an investment in AFLAC Inc. stock.

3. Pucciarelli v. Investacorp Incorporated FINRA ID #24-00166 (Atlanta, GA, 2024-12-27) – An Arbitrator grants Respondent broker-dealer's Motion to Dismiss (Motion for Directed Verdict) Claimant's request for reformation of his Form U5 record on statute of limitation grounds (FINRA Rule 13206 - Six-year Eligibility Rule for Industry Disputes).

4. Kledaras v. Atreyu Group FINRA ID #23-02420 (New York, NY, 2024-12-24) – A broker alleging he was wrongfully terminated from Respondents' Board of Directors and that Respondents misappropriated trade secrets with respect to the FLIRT technology and seeking compensation for unpaid wages among other things, is awarded nearly $500,000 in compensatory damages. Respondents lose their Counterclaim for breach of fiduciary/duty of loyalty.