PIABA Newsroom

PRESS RELEASE: PIABA Supports the Investor Justice Act of 2022 (July 28, 2022)
AMICUS LETTER: Amicus Letter of the Public Investors Advocate Bar Association in Opposition to Request for Depublication of Williams v. Nat'l Western Life Ins. Co (July 18, 2022)
COMMENT LETTER: SR-FINRA-2022-015 - Proposed Rule Change to Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure) to Release Information on BrokerCheck® Relating to Firm Designation as a Restricted Firm (July 8, 2022)
PIABA BRIEFs: King vs. Kovack Securities, Brian Kovack, Motion for Leave to File (US App Ct 11th Cir June 7, 2022)
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In the Media

Wells Wins Appeal of Finra Arbitration Collusion Ruling, By Alex Padalka
Financial Advisor IQ (August 4, 2022) - A Georgia appeals court reversed a lower court’s decision that vacated a previous award on the grounds that there was a secret agreement between a lawyer…
Revised Finra expungement proposal gains support of previous critics, By Mark Schoeff Jr.
InvestmentNews (August 4, 2022) - A major modification to the proposal would allow state regulators to participate in arbitration hearings that determine whether to clear a broker's record of a…
Arbitration 'fraud' verdict against Wells Fargo tossed, By Lynnley Browning
Financial Planning (August 2, 2022) - A Georgia appeals court overturned a ruling that found Wells Fargo and its Wall Street regulator made a secret deal to choose bank-friendly arbitrators for a…
Finra Wants To Start Identifying 'Restricted' Firms On BrokerCheck, By Tracey Longo
Financial Advisor (July 18, 2022) - Broker-dealers designated as “restricted firms” by Finra because of the spotty records of their brokers may soon find that label slapped on their public…