ARBchek - Arbitrator Research Base

1. Connolly v. SunAmerica Capital FINRA ID #26-00134 (Los Angeles, CA, 2026-05-26) – A Panel unanimously grants Respondent broker-dealer's Pre-Hearing Motion to Dismiss pursuant to FINRA Rule 13206 (Six-year Eligibility Rule for Industry Disputes) after finding that the claims giving rise to this case, as well as the filing of the registered representative's Form U5 record, took place in December 2012, thus making them ineligible for arbitration.

2. Parenti v. Fidelity Brokerage FINRA ID #25-01974 (Atlanta, GA, 2026-05-21) – In this small claims arbitration, a customer alleging that due to inaccurate and misleading market data contained on Respondent broker-dealer's Active Trader Pro desktop platform, he placed a limit sell order on his investment in Envirotech Vehicles Inc., to his detriment, loses his case.

3. White v. David Lerner FINRA ID #25-01773 (Jersey City, NJ, 2026-05-18) – An All-Public Panel grants Respondent broker-dealer's Pre-Hearing Motion to Dismiss pursuant to FINRA Rule 12206 of the Code (Six-year Eligibility Rule) after finding that the event or occurrence giving rise to the case took place nearly ten (10) years prior to the filing of the Statement of Claim and is therefore ineligible for arbitration.