PIABA Newsroom

COMMENT LETTER: Discovery Guide Documents To Be Produced by Firm/Associated Person In Customer v. Firm/Associated Person Disputes (July 7, 2005)
AMICUS BRIEF: Foster J. Gibbons v. Louise W. Smith. No. 04-4617BK, in Support of Appellee for Affirmance, on Appeal from the United States District Court for the Southern District of New York (U.S.App.Ct. Second Circuit) (June 10, 2005)
CONGRESSIONAL TESTIMONY: Statement of the Public Investors Arbitration Bar Association In Connection with the Subcommittee’s Review of the Securities Arbitration System (March 15, 2005)
CONGRESSIONAL TESTIMONY: Statement by Rosemary Shockman, Committee on the Judiciary, Subcommittee on the Constitution. Hearing on S. 1782, The Arbitration Fairness Act of 2007 (March 15, 2005).
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In the Media

California Fights NYSE, NASD On New Arbitrator Disclosures, by Susanne Craig
The Wall Street Journal (Updated August 30, 2002 11:01 pm) -- At the height of the tech boom, Joe and Janet Janssens say they took the advice of their Salomon Smith Barney broker and plowed much of…
The Fall Of Alan Bond, by Sakina P. Spruell
Once-prominent money manager found guilty of defrauding clientsBlack Enterprise (August 1, 2002) -- In September, money manager Alan Bond will be sentenced to up to 45 years in prison for cheating…
Brokerage watchdog fights for credibility, by Noelle Knox and Barbara Hansen
USA Today (May 23, 2002 10:07 pm) Plenty of investors are upset with their stockbrokers, but they are also losing faith that Wall Street's watchdog group will help them.Consider this: Investor…
NASD Proposes Tighter Rules For 'Expunging' Broker Missteps, by Susanne Craig
The Wall Street Journal (Updated May 2, 2002 11:01 pm) -- In August 2000, Virginia Hay filed an arbitration complaint against Salomon Smith Barney and its broker Lawrence Gordon. Her since-deceased…
NASD looks to tighten up rules for 'expunging' broker missteps, by IE Staff
Investment Executive (May 2, 2002 8:10 am) -- "In August 2000, Virginia Hay filed an arbitration complaint against Salomon Smith Barney and its broker Lawrence Gordon. Her since-deceased father lost…
CCH to Take Legal Action Against PIABA
InformationToday (December 2001) -- CCH, Inc., a provider of legal information, software, and services, has announced that it will aggressively oppose and seek prompt legal resolution for an attempt…
Your Broker Blew It. What to Do
BloombergBusiness (August 12, 2001) -- Mad as hell at your stockbroker? You're not alone. A record number of investors want to make their brokers pay for their portfolio blowups. Securities…
NASDR warns of potential online churning, by Sara Hansard
Says when suitability rule must be observedInvestmentNews (March 26, 2001 11:01 pm) -- Online brokers could be accused of churning if their customers trade too much based on their recommendations.The…
NASD Says 'Suitability Rules' Should Apply to Online Brokers, by Aaron Elstein and Stacy Forster
Wall Street Journal (March 21, 2001 11:01 pm) --  The National Association of Securities Dealers rejected arguments that online-brokerage firms should be exempt from the suitability rules that have…
NASD Plan Would Let Investors Take Brokerages to Court Over Unpaid Arbitration Awards, by Robert Kowalski
TheStreet (February 6, 2001 9:12 am) -- A plan by the National Association of Securities Dealers to help investors collect unpaid arbitration awards by allowing them to take brokerages to court is…