PIABA Newsroom

AMICUS BRIEF: Brian Leggett vs. Wells Fargo, Brief of Amicus Curiae PIABA in Support of Appellees, Supreme Court of Fulton County (May 31, 2022)

OPED: Voices Department of Labor must do more to protect retirement savers from advisor conflicts, By Christine Lazaro and Stephan Hall (May 31, 2022)

PRESS RELEASE: Leading Worker, Consumer and Investor Advocates Urge SEC to Investigate RIA Mandatory Arbitration (May 18 2022)

COMMENT LETTER: FINRA Regulatory Notice 22-09 - FINRA Proposed Rule to Accelerate Processing of Arbitration Proceedings for Seriously Il or Elderly Parties (May 16, 2022)

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In the Media

Wells Wins Appeal of Finra Arbitration Collusion Ruling, By Alex Padalka

Financial Advisor IQ (August 4, 2022) - A Georgia appeals court reversed a lower court’s decision that vacated a previous award on the grounds that there was a secret agreement between a lawyer…

Revised Finra expungement proposal gains support of previous critics, By Mark Schoeff Jr.

InvestmentNews (August 4, 2022) - A major modification to the proposal would allow state regulators to participate in arbitration hearings that determine whether to clear a broker's record of a…

Arbitration 'fraud' verdict against Wells Fargo tossed, By Lynnley Browning

Financial Planning (August 2, 2022) - A Georgia appeals court overturned a ruling that found Wells Fargo and its Wall Street regulator made a secret deal to choose bank-friendly arbitrators for a…

Finra Wants To Start Identifying 'Restricted' Firms On BrokerCheck, By Tracey Longo

Financial Advisor (July 18, 2022) - Broker-dealers designated as “restricted firms” by Finra because of the spotty records of their brokers may soon find that label slapped on their public…