PIABA Newsroom

COMMENT LETTER: SR-NASD-2004-183 - Notice of Filing Amendment No. 2 to Proposed Rule Relating to Sales Practice Standards and Supervisory Requirements for Transactions in Deferred Variable Annuities (July 20, 2006)
COMMENT LETTER: SR-NASD-2005-079 - Proposed Amended Revisions to NASD Rule 10322 (May 26, 2006)
AMICUS BRIEF: James Reinglass v. MSDW, Inc., No. 2006-1017, in support of Jurisdiction, On Motion to Certify an Appeal from the Eighth District Court of Appeals (No. CA 05 086407, Cuyahoga Common Press No. CV-512134 (Ohio Supreme Court) (May 23, 2006)
COMMENT LETTER: SR-NASD-2003-158 - Proposed Rule Change and Amendments 1, 2, 3, and 4 to Amend NASD Arbitration Rules for Customer Disputes and Notice of Filing and Order Granting Accelerated Approval of Amendments 5, 6, and 7 (May 12, 2006)
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In the Media

SEC 'Missed Opportunity' to Save Auction-Rate Buyers (Update2), by Michael McDonald and David Scheer
Bloomberg (September 8, 2008 7:15 pm) -- The U.S. Securities and Exchange Commission missed a chance to protect investors from the collapse of the $330 billion auction-rate market by failing to…
Twist for 'Auction Rate' Cases; Arbitrations Are to Be Heard by Three-Person Panel, by Daisy Maxey
Auction Rate Preferreds (August 9, 2008) -- Securities regulators have created a special process for resolving claims related to auction-rate securities, a move that was welcomed by some who have…
Advisers cheer Finra pilot on arbitration panels, by Sara Hansard
InvestmentNews (August 4, 2008 11:01 pm) -- Many advisers who have been involved in arbitration cases are welcoming a move to give investors the option of having all-public arbitration panels. But…
Arbitration Favors Firms Over Investors, by Jane Bryant Quinn
Washington Post (August 3, 2008) -- Let's say you had $50,000 in auction-rate securities that your broker said were as safe as money-market funds. The market collapsed, and you sold at an 80 percent…
Arbitration Tilting More Against Investors, by Jane Bryant Quinn
Bloomberg (July 30, 2008 3:24 pm) - Let's say you had $50,000 in auction-rate securities that your broker said were as safe as money-market funds. The market collapsed and you sold at an 80 percent…
Arbitration Fix, Easing Buyouts, SEC-Fed: Compliance (Update1), by Lisa Brennan
Bloomberg (July 25, 2008 7:17 am) -- The Financial Industry Regulatory Authority will test a change in how it resolves investor-broker disputes, removing industry representatives from three-person…
Finra to Test Public Panels for Investor Disputes (Update3), by Jeff Plungis
Bloomberg (July 24, 2008 11:07 am) - The Financial Industry Regulatory Authority will test a change in how it resolves investor-broker disputes, removing industry representatives from three-person…
PIABA Opposes Reporting Threshold.(Public Investors Arbitration Bar Association)
Highbeam Business (June 16, 2008) -- The Public Investors Arbitration Bar Association has questioned parts of the Financial Industry Regulatory Authority's proposal to change forms U4 and U5, the…
PIABA Opposes Reporting Threshold
Wall Street Letter (WSL) (June 16, 2008) -- The Public Investors Arbitration Bar Association has questioned parts of the Financial Industry Regulatory Authority's proposal to change forms U4 and U5,…
Firms, Not Brokers, Faulted on Auction-Rates, by Jaime Levy Pessin
Wall Street Journal (June 5, 2008 11:01 pm) -- Despite the anger harbored by Main Street investors toward brokers who sold them auction-rate securities, some of the people trying to protect…