Compliance Week (February 29, 2016) -- Nearly one out of three investor awards in arbitration cases overseen by the Financial Industry Regulatory Authority go unpaid, alleges a new report by the…
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In the Media
The Detroit News (February 28, 2016 6:00 pm) -- Bump!Bump!Bump!Oh, hi there. Did you just come in? I didn’t hear you, what with pounding my head against the wall here.First, let me just wish you a…
Investment News (February 27, 2016) – According to a report released this week by the Public Investor Arbitration Bar Association (PIABA), of the 225 FINRA arbitration awards that were handed down in…
Broker-Dealer Law Corner (February 26, 2016) -- Once again, I found myself gritting my teeth in frustration after reading yet another PIABA report complaining about some perceived inequity in the…
Securities Arbitration Commentator (February 26, 2016) -- On the same day, February 25, the Public Investors Arbitration Bar Association issued a Report and a News Release and held a press conference…
PIABA wants Finra to create a national recovery pool funded by brokeragesInvestmentNews (February 25, 2016 12:34 pm) -- The Financial Industry Regulatory Authority Inc. is doing a lousy job at…
PIABA wants Finra to create a national recovery pool funded by brokerages InvestmentCash (February 25, 2016 12:34 pm) -- The Financial Industry Regulatory Authority Inc. is doing a lousy job at…
Victim of Unpaid Award Speaks Out About Devastating Consequences; Industry-Funded Recovery Pool is Best Option to Address Major Threat to Investor Confidence in Marketplace Fairness.Sys-Con Media (…
Financial Advisor (November 16, 2015) -- With robo-advisors gaining steam, should the computer programming wizards behind them be held to a fiduciary standard?Talk to experts and you get a firm, “…
blogs.wsj.com/moneybeat (November 3, 2015 4:30 am) -- Attorneys call for slowdown on Finra’s arbitration unit changes. Lawyers who represent investors in cases against the securities industry are…