PIABA Newsroom

COMMENT LETTER: SR-FINRA-2007-042 - Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the Codes of Arbitration Procedure to Remove the Page Limit on Statements of Claim Filed Through the Online Arbitration Claim Filing System (February 25, 2008)
PRESS RELEASE: Investors' Negative View of Arbitration Supports Need for Reforms, Laurence S. Schultz, 2008 PIABA President (January 11, 2008)
AMICUS BRIEF: Robert J. Boyer v. Salmon Smith Barney, Dean Michael Howell and Dean K. Morrell, Brief of Amicus Curiae Public Investors Arbitration Bar Association, TC No. 0212-12721, CA A123799, SC No. S055192 (Jan. 10, 2008)
COMMENT LETTER: NASAA Model Rule on the Use of Senior-Specific Certifications and Professional Designations (December 14, 2007)
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In the Media

Wall Street's Kangaroo Court Gets A Black Eye, by Will D Cohan
disquis.com (Bloomberg) (July 31, 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,…
Wall Street’s Kangaroo Court Gets a Black Eye, by William D Cohan
BloombergBusiness (July 30, 2012 2:29 pm) -- “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,…
Cohan: Time to shut down Finra's arbitration panels, by William D. Cohan
Those with a grievance should be able to make their case in a real court of lawInvestmentNews (July 30, 2012 10:44 am) -- “Sunlight is said to be the best of disinfectants,” the future Supreme Court…
In re, BrokerCheck: SIFMA urges Finra to expand 'in re expungement, by Dan Jamieson
Association wants to make it easier for brokers to clean up their official recordsInvestmentNews (May 25, 2012 2:04 pm) -- The Securities Industry and Financial Markets Association wants Finra to…
A Jury of Peers for Broker Disputes
A Jury of Peers for Broker Disputes SmartMoney.com (May 20, 2012) -- The scenario is not unlike those Olympic lowlights of yore: A Soviet gymnast flubs the floor exercise; a moment later, the Soviet…
Wall Street’s Legal Magic Ends an American Right, by Susan Antilla
Bloomberg (May 4, 2012 6:00 pm) - American business entered its Teflon era on a spring day 25 years ago.Lawyer Madelaine Eppenstein had taken the morning off from work for a parent-teacher event at…
What you should know about your adviser, by John Wasik
Reuters (March 6, 2012 2:56 am) -- In an ideally-transparent world, you'd know as much about your broker as you know about the ingredients in packaged junk food label: All of the bad stuff would be…
How investors' right to litigate will impact returns, by Bolger, Ryan
ProQuest (International Financial Law Review) (March 2012) -- Why a New York Court of Appeals decision to allow investor litigation against financial advisers may mean higher advisory fees for…
Dirt for investors to dig, if they can find it, by Suzanne Barlyn
In Digest Biz (Reuters) (February 27, 2012 11:10 am) – Ongoing efforts by regulators to give the public more details about financial advisers’ backgrounds still haven’t solved a key problem — getting…
All-public panels are a hit with investors, Finra says, by Dan Jamieson
Popularity of new program could quell calls to end mandatory arbitrationInvestment News (January 29, 2012 11:01 pm) -- After nearly a full year, the Financial Industry Regulatory Authority Inc.'s…