PIABA Newsroom

COMMENT LETTER: SR-FINRA-2020-020; Proposed Rule Change to Adopt FINRA Rule 3241 (Registered Person Being Named a Customer’s Beneficiary or Holding a Position of Trust for a Customer) (July 30, 2020)
COMMENT LETTER: NASAA Proposed Model Act (July 30, 2020)
AMICUS BRIEF: Antonio Jubis Zacarias v. Ralph S. Janvey and Barry L. Rupert v. Ralph S. Janvey, Nos 19-1402 and 19-1411, Brief of Amicus Curiae PIABA in Support of Petitioners, 5th Cir. (July 23, 2020)
DOL FACT SHEET: DOL Rule Would Expose Vulnerable Retirement Savers to Harmful Advice (July 16, 2020)
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In the Media

The Tide Rises: Will Biden’s Blue Wave Wash Away Mandatory Arbitration? By Joseph Calabrese
JD Supra (May 10) - Congressional rumblings about outlawing mandatory arbitration clauses are relatively common, but they have not been successful. Ever since a hard-won battle in the 1980s, the…
PIABA nudges FINRA to resume face-to-face arbitration, By Andrew Foerch
Citywire (April 29, 2021) - David Meyer voiced strong opposition to FINRA's in-person hearing ban in a letter to Dispute Resolution Services director Richard Berry. Public Investors Advocate Bar…
Finra suspension of in-person arb hearings harms investors, PIABA says, By Mark Schoeff Jr.
Investment News (April 27, 2021) - The regulator has extended its postponement of in-person arbitration proceedings through July 2, but says it expects to resume normal proceedings in some locations…
PIABA: FINRA’s Extended Delay of In-Person Arbitration Hearings Leaving Investors No Access to Justice, By Alex Frank
Business Wire (April 27, 2021) - With No Guarantee of Even Zoom Hearings, Investor Cases Languish As Defendant Brokers and Firms Are Allowed to Exploit FINRA Delay to Their Benefit In a letter sent…