PIABA Newsroom

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)
COMMENT LETTER: NASAA Proposed Whistleblower Model Act (June 29, 2020)
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In the Media

PIABA finds arbitrators grant expungement 90% of the time, By InvestmentNews
InvestmentNews (May 18, 2021) - The Public Investors Advocate Bar Association released a report on recent expungement awards on Tuesday and renewed its call for the Financial Industry Regulatory…
With Broker Misconduct Expungements Soaring, PIABA Urges SEC To Step In, By Tracey Longo
Financial Advisor (May 18, 2021) - With expungement arbitration awards soaring 1,000%, the Finra plan to fix the system that allows registered reps to erase misconduct and customer complaints from…
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…