PIABA Newsroom

Statement for the Record by PIABA Hearing before the House Financial Services Committee (April 2, 2019)
Statement for the Record by the Public Investors Arbitration Bar Association Hearing before the House Financial Services Committee; Subcommittee on Investor Protection, Entrepreneurship, and Capital Markets (March 14, 2019)
PRESS RELEASE: PIABA: Small Investors in Need of Attorneys Should Do Their Homework (March 6, 2019)
COMMENT LETTER: Comment on Draft Regulations to be added to Chapter 90 of the Nevada Administrative Code– Fiduciary Duty Regulations (March 1, 2019)
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In the Media

House approves bill that would end mandatory arbitration in broker, adviser contracts, By Mark Schoeff Jr.
InvestmentNews (September 20, 2019) - Legislation unlikely to get through Senate but sends a message for potential future action.  Advocates for prohibiting mandatory arbitration for investment…
How the SEC let an advisor about to be barred sell his firm to a buyer with red flags, By Ann Marsh
Financial Planning (September 5, 2019) - An advisor accused by the SEC of defrauding investors and eventually barred from the industry was allowed by the agency to choose the buyer of his firm,…
Bad RIAs are Just as Much a Problem as Bad Brokers, Lawyers Claim, By Garrett Keves
Financial Advisor IQ ( August 1, 2019) - As the old saying goes, one bad apple spoils the bunch. And although the vast majority of brokers are upstanding individuals with clean records and their…
Finra rogue broker proposal raises concerns among investor, industry advocates, By Mark Schoeff Jr.
InvestmentNews (July 8, 2019) - PIABA: It falls short of solving unpaid arbitration. FSI: It gives Finra too much power.  Investor advocates say a Finra proposal to crack down on rogue brokerages…