PIABA Newsroom

Statement for the Record by PIABA Hearing before the House Financial Services Committee (April 2, 2019)
Statement for the Record by the Public Investors Arbitration Bar Association Hearing before the House Financial Services Committee; Subcommittee on Investor Protection, Entrepreneurship, and Capital Markets (March 14, 2019)
PRESS RELEASE: PIABA: Small Investors in Need of Attorneys Should Do Their Homework (March 6, 2019)
COMMENT LETTER: Comment on Draft Regulations to be added to Chapter 90 of the Nevada Administrative Code– Fiduciary Duty Regulations (March 1, 2019)
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In the Media

Bad RIAs are Just as Much a Problem as Bad Brokers, Lawyers Claim, By Garrett Keves
Financial Advisor IQ ( August 1, 2019) - As the old saying goes, one bad apple spoils the bunch. And although the vast majority of brokers are upstanding individuals with clean records and their…
Finra rogue broker proposal raises concerns among investor, industry advocates, By Mark Schoeff Jr.
InvestmentNews (July 8, 2019) - PIABA: It falls short of solving unpaid arbitration. FSI: It gives Finra too much power.  Investor advocates say a Finra proposal to crack down on rogue brokerages…
Why a Warren Win Worries Wall Street… And Wealth Managers, By Miriam Rozen
Financial Advisor IQ ( July 1, 2019) - Pedestrians taking the shortest route need only 17 minutes to walk from Wall Street to Warren Street in Lower Manhattan. But the ideological divide between…
Think You're Too Smart To Be Duped? Maybe Not! By Kerry Hannon
Forbes (July 1, 2019) - Even those of us who pride ourselves on being good judges of character and wary of something that sounds or looks too good to be true, can fall for a hoax, a sham or a…