PIABA Newsroom

PIABA BRIEFs: King vs. Kovack Securities, Brian Kovack, Motion for Leave to File (US App Ct 11th Cir June 7, 2022)
AMICUS BRIEF: Brian Leggett vs. Wells Fargo, Brief of Amicus Curiae PIABA in Support of Appellees, Supreme Court of Fulton County (May 31, 2022)
OPED: Voices Department of Labor must do more to protect retirement savers from advisor conflicts, By Christine Lazaro and Stephan Hall (May 31, 2022)
PRESS RELEASE: Leading Worker, Consumer and Investor Advocates Urge SEC to Investigate RIA Mandatory Arbitration (May 18 2022)
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In the Media

Law Firm Hired By Finra Finds No Secret Deal Between Regulator And Wells Fargo, By Tracey Longo
Financial Advisor (June 29, 2022) - There are no secret deals or “improper agreements” to remove possibly prejudiced arbitrators from Financial Industry Regulatory Authority arbitration panels,…
FINRA ‘secret agreement’ probe ignores larger arbitration concerns, By Tobias Salinger
FinancialPlanning (June 29, 2022) - There was no “secret agreement” between Wells Fargo’s attorney and FINRA that improperly removed a potential arbitrator from a client complaint case at his request…
Report Finds 'No Evidence' of Secret Agreement Between Wells Fargo, FINRA, By Patrick Donachie
Wealth Management (June 29, 2022) - FINRA released a report from independent counsel Lowenstein Sandler, concluding there was no agreement between Wells Fargo’s counsel and the regulator to exclude…
In Wells Fargo Case, FINRA Didn't Manipulate Arb Process: Independent Review, By Melanie Waddell
ThinkAdvisor (June 29, 2022) - What You Need to Know A review found no evidence of an improper agreement to remove certain arbitrators from arbitration cases. Lowenstein said it does not believe…