PIABA Newsroom

COMMENT LETTER: Request for Comment on Proposed Rule to Adopt Remaining Legacy NASD and Incorporated NYSE Rules as FINRA Rules (May 6, 2019)
Jay Clayton, Chairman, SEC: Meeting Follow-Up Letter (April 26, 2019)
AMICUS BRIEF: Interactive Brokers LLC vs. Rohit Saroop; Preya Saroop; and George Sofis, No. 19-1077, Brief of Amicus Curiae Public Investors Arbitration Bar Association in Support of Plaintiff-Appellee (4th Cir.) (April 18, 2019)
Statement for the Record by PIABA Hearing before the House Financial Services Committee (April 2, 2019)
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In the Media

Finra proposal to restrict recidivist behavior a good start — but more needs to be done, By Christine Lazaro
InvestmentNews (May 14, 2019) -- Crackdown will help, but creating restricted accounts alone will not solve the problem of unpaid arbitration awards Recently, the Financial Industry Regulatory…
Advisor? Broker? SEC proposes vote on fiduciary standards to help clear up confusion, By Kenneth Corbin
FinancialPlanning (April 12, 2018) -- The SEC plans to move forward with a proposal to impose new standards of care for investment advisors and broker-dealers who work with retail investors,…
Maryland attorney general bars unregistered adviser, By Jeff Benjamin
InvestmentNews (April 11, 2018) -- The scheme involved soliciting the clients of another barred adviser An unregistered investment adviser has been barred by the Maryland attorney general's office…
Former Merrill Lynch execs' lawyer feels good about chances in $1 billion arbitration, By Mark Schoeff Jr.
InvestmentNews (April 5, 2018) -- Broker-dealer drops effort to stop 60 cases related to steep Merrill stock dive in 2007-08 A lawyer for dozens of former Merrill Lynch managers said they have a good…