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…
PIABA Newsroom
In the Media
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…
AdvisorHub (December 19, 2022) - The Financial Industry Regulatory Authority, in an attempt to address criticisms from state regulators and investor advocates, among others, has amended its proposal…
Financial Planning (December 6, 2022) - Four of Advisor Group's brokerages settled FINRA charges that the firms negligently sold clients $16 million worth of alternative investments without informing…
ThinkAdvisor (December 2, 2022) - The Public Investors Advocate Bar Association says the Financial Industry Regulatory Authority’s plan to allow a home office to be considered a non-branch “…
Financial Advisor IQ (November 30, 2022) - The Public Investors Advocate Bar Association contends that a proposal to classify home offices as non-branch locations “leaves considerable opportunity for…