PIABA Newsroom
In the Media
RIABiz.com (December 6, 2012) -- Brooke’s Note: For us laymen, the whole FINRA-as-SRO issue is confoundingly confusing at times and certainly requires more space on the old mental hard drive than we’…
Reuters (November 2, 2012 12:43 pm) -- Wall Street's industry-funded watchdog does not have an official say over registered investment advisers, but it is not shy about stepping up with a solution to…
The Wall Street Journal (Updated October 26, 2012 1:56 pm) - A U.S. district court has upheld an arbitration panel's half-a-million dollar award against Merrill Lynch, capping a controversy in which…
Move by regulator not related to SRO push; 'requests from attorneys'InvestmentNews (October 25, 2012 11:24 pm) -- The Financial Industry Regulatory Authority Inc. has opened up its arbitration system…
Risks include lack of information, new reporting standards, Abshure saysInvestmentNews (October 25, 2012 10:44 am) -- New laws that ease restrictions on raising money for small, private companies…
* Appeals court reinstates $9.2 million ruling* Says district court erred in throwing out awardReuters (October 23, 2012 5:49 pm) - A federal appeals court on Tuesday reinstated a $9.2 million…
Judge Rakoff presses for accountabilityInvestmentNews (October 7, 2012 11:01 am) --U.S. District Judge Jed S. Rakoff shook the securities establishment to its core in 2009 when he refused to sign off…
InvestmentNews (September 2, 2012 11:01 pm) -- A California appeals court ruling that makes it easier for brokers to expunge customer complaints and disciplinary actions from their records could have…
Court decides in favor of rep seeking expungement of Finra file; 'big uptick' in cases possibleInvestmentNews (August 31, 2012 10:29 am) -- A California appeals court ruling that makes it easier for…
gulfnews.com (August 1, 2012) - “Sunlight is said to be the best of disinfectants,” the future Supreme Court Justice Louis Brandeis famously wrote in a 1913 article for Harpers’ Weekly, and now,…