PIABA Newsroom

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).
COMMENT LETTER: Release No. 34-51181 - Proposed Rule Change by the NASD, Inc. Relating to Amendments to Rule 2340 (Customer Account Statements) (March 9, 2005)
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In the Media

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…
Brokers - When you've been done wrong, you can win the Arbitration game
Brokers - When you've been done wrong, you can win the Arbitration game, by Keffrey R. Kosnett. . . Give Me Back My Money Kiplinger's (January 2001) -- Erwin Andersen, a self-employed construction…
War of Words Erupts Over Arbitrator Lists, by Dan Jamieson
WealthManagement.com (September 1, 2000 ) -- Just days after the NASD created a new dispute resolution subsidiary geared at improving the perception of its arbitration forums, the regulator was…
Lawyers Group Alleges NASD's Arbitrations Biased for Firms, by Walter Hamilton
Securities: Individuals' attorneys say brokerage group's computers are set to pick panelists who favor Wall Street. NASD denies the charge.Los Angeles Times (July 21, 2000) -- Lawyers representing…