InvestmentNews (April 14, 2023) - NASAA says Finra's modifications don't do enough to make it harder for brokers to clear customer disputes from their records.
State securities regulators continue…
PIABA Newsroom
In the Media
InvestmentNews (April 13, 2023) - The measure establishes tighter procedures and a special roster of arbitrators to hear brokers' requests to clear their records of customer disputes.
A Finra…
Think Advisor (April 6, 2023) - The Financial Industry Regulatory Authority has refiled with the Securities and Exchange Commission a revamped plan to make changes to FINRA Rule 3110 to allow a home…
AdvisorHub (March 30, 2023) - The Financial Industry Regulatory Authority has submitted to the Securities and Exchange Commission another revision to one of its two proposals to make it easier for…
Stanford (February 2023) - Key Takeaways
Arbitration is often assumed to be fair and balanced. But brokerage firms often hold an advantage over consumers.
Random selection of arbitrators would…
Barron's (February 21, 2023) - Attorneys who represent investors are asking Wall Street regulator Finra to amend its proposal for reforming how it selects arbitrators. Their stated goal: greater…
AdvisorHub (February 17, 2023) - The Public Investors Advocate Bar Association is pushing for more transparency around how arbitrators are selected in the Financial Industry Regulatory Authority…
InvestmentNews (January 30, 2023) - Hugh Berkson, president of the Public Investors Advocate Bar Association, talks about PIABA's focus on reducing the number of Finra arbitration awards that aren't…
AdvisorHub (January 11, 2023) - The Financial Industry Regulatory Authority’s proposal to tweak its arbitrator-selection procedures, making them more transparent, represents welcome progress,…
Financial Advisor (January 5, 2023) -
To further weed out potential conflicts of interest and provide greater transparency into why certain arbitrators are removed from arbitrators selection lists…