PIABA Newsroom

REPORT: Clayton “BI” Proposal is a Step Backwards That Will Not End Conflicted Advice and Investor Confusion (June 4, 2019)
COMMENT LETTER: Request for Comment on Proposed Rule to Adopt Remaining Legacy NASD and Incorporated NYSE Rules as FINRA Rules (May 6, 2019)
Jay Clayton, Chairman, SEC: Meeting Follow-Up Letter (April 26, 2019)
AMICUS BRIEF: Interactive Brokers LLC vs. Rohit Saroop; Preya Saroop; and George Sofis, No. 19-1077, Brief of Amicus Curiae Public Investors Arbitration Bar Association in Support of Plaintiff-Appellee (4th Cir.) (April 18, 2019)
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In the Media

Finra Advances Proposal To Allow Brokers To Expunge Their Records, By Tracey Longo
Financial Advisor (October 7, 2019) - Finra's board of directors advanced for public comment a proposal that will allow brokers to clear their record of customer disputes. The self-regulatory…
Trump Strongly Opposes House Bill Prohibiting Mandatory Arbitration, By Tracey Longo
Financial Advisor (September 24, 2019) - President Trump “strongly opposes” the newly-passed House bill to prohibit mandatory pre-dispute arbitration agreements and would likely veto such legislation…
Bill Ending Mandatory Arbitration In Advisor, Broker Contracts Clears House, By Tracey Longo
Financial Advisor (September 23, 2019) - The House has passed a bill that would prohibit mandatory arbitration in brokerage and advisor contracts, giving consumer advocates who have been fighting for…
Leading expungement attorney accuses Finra staff of trying to influence arbitrators, By Mark Schoeff Jr.
InvestmentNews (September 23, 2019) - Finra spokeswoman: Case staff advise arbitration panels on rules, procedures This story has been revised to indicate that under Finra rules, arbitrators must…