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

PIABA: Ga. Broker’s Conduct Is “Road Map” For Avoiding Arb Awards, By Patrick Donachie
WealthManagement (August 22, 2022) - Did a now-defunct IBD avoid FINRA financial judgements by transferring brokers and clients to another firm? Both PIABA and the FSI are weighing in on a case…
Legislation would help senior investors obtain legal help, By Mark Schoeff Jr.
InvestmentNews (August 22, 2022) - Bills in both the House and Senate would establish an SEC grant program to support investor advocacy clinics at law schools. Senior investors who have low-dollar…
FINRA stirs expungement debate with latest arbitration reform proposal, By Tobias Salinger
FinancialPlanning (August 10, 2022) - The latest FINRA proposal on removing client complaints from brokers' records is setting up a rulemaking debate that's likely to be long and contentious. FINRA …
Wells Fargo Wins Appeal in FINRA Arb Case By Melanie Waddell
ThinkAdvisor (August 9, 2022) - What You Need to Know A Georgia appeals court has reversed a January ruling that found Wells Fargo manipulated the FINRA arbitrator pool. In its August decision,…