PIABA Newsroom

CONGRESSIONAL TESTIMONY: Committee on the Judiciary, Subcommittee on the Constitution. Hearing on S. 1782, The Arbitration Fairness Act of 2007 (December 12, 2007)
AMICUS BRIEF: Melanie Senter Lubin, Maryland Securities Commissioner v. Joseph R. Karsner, IV, et al. No. 07-7080, in Support of Appellant, On Appeal from the District Court for the District of Columbia (Richard J. Leon, Judge) (November 21, 2007)
PRESS RELEASE: PIABA Supports Arbitration Fairness Act of 2007, Laurence S. Schultz, 2008 PIABA President (October 31, 2007)
PRESS RELEASE: PIABA Releases Study and Calls on SEC & FINRA to Halt Arbitrator-Recommended Expungements of Customer Dispute Information from the Central Registration Depository Records System, Steven B. Caruso, 2007 PIABA President (September 24, 2007)
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In the Media

All-public panels are a hit with investors, Finra says, by Dan Jamieson
Popularity of new program could quell calls to end mandatory arbitrationInvestor Advocates (Investment News) (January 29, 2012 11:01 pm) -- After nearly a full year, the Financial Industry Regulatory…
All-public panels are a hit with investors, Finra says, by Dan Jamieson
Popularity of new program could quell calls to end mandatory arbitrationJamesCatledge.org (InvestmentNews) (January 29, 2012 11:01 pm) -- After nearly a full year, the Financial Industry Regulatory…
Investors Opt for Arbitration Panels Without Ties to Wall Street, by Susanne Craig
ComplianceX (October 28, 2011) -- With skepticism of Wall Street running high, investors who have a beef with their brokerage firm are opting overwhelming to have their cases heard by arbitration…
Investors Opt for Arbitration Panels Without Ties to Wall Street, by Susanne Craig
The New York Times (October 27, 2011 2:25 pm) -- With skepticism of Wall Street running high, investors who have a beef with their brokerage firm are opting overwhelming to have their cases heard by…
Congress Wants to Give Wall Street Yet Another Chance to Regulate Itself, by Constantine Von Hoffman
CBS MoneyWatch (cbsnews.com) (June 28, 2011 3:12 pm) -- Congress apparently thinks the SEC is too effective. To remedy that, it wants to increase the role of FINRA, Wall Street's self-funded self-…
SEC Withholds Records on Oversight of Self-Regulatory Group, by Michael Smallberg
POGO (June 16, 2011) -- Suzanne Barlyn's latest column in Dow Jones Compliance Watch raises new concerns about the Securities and Exchange Commission's (SEC) Freedom of Information Act (FOIA)…
(Non)Binding Arbitration, by Suzanne Barlyn
Disputes between investors and brokerages are handled by arbitrators. But their rulings aren't always the end of the lineWall Street Journal (Updated April 4, 2011 11:01 pm) -- Binding arbitration is…
Financial Fraud Case Pits Arbitration vs. Class Actions, by Susanne Craig
Herald Tribune (March 4, 2011 12:00 am) -- Ewald Groetsch was lonely after his wife died in 2003. Mr. Groetsch, a retired grocery wholesaler who had dementia, struck up a relationship with a broker…
How Safe Are Your Savings? by John Wasik
Your broker may peddle them as "low-risk" investments. But many structured products are so risky they could destroy your life savings. Welcome to the no-regulation zone.AARP Magazine (March/April…
Will SEC decision open brokers up to litigation? by Mark Schoeff Jr. and Dan Jamieson
InvestmentNews (February 6, 2011 11:01 pm) -- A new regulation that would allow investors to choose an all-public arbitration panel in disputes with brokers is being hailed as a step toward making…