PIABA Newsroom

COMMENT LETTER: SR-FINRA-2014-020 - Proposed Rule Change to Adopt FINRA Rule 2081 (Prohibited Conditions Relating to Expungement of Customer Dispute Information) (May 13, 2014)
COMMENT LETTER: SR-FINRA-2014-012 - Proposed Rule Change To Amend FINRA Rules 2210 (Communications with the Public) and 2214 (Requirements for the Use of Investment Analysis Tools) (April 15, 2014)
COMMENT LETTER: SR-CBOE-2014-010 - Proposed Rule Change Relating to a Fee for Qualification Examination Waiver Requests (April 7, 2014)
COMMENT LETTER: California AB 2096 - Proposed New Corporations Code Section 25102(r) Exemption, Advertising (April 2, 2014)
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In the Media

Investor Panel Eyes Improved Online Background Checks of Financial Professionals, by Sarah N. Lynch
Insurance Journal (Reuters April 10, 2015) -- A panel of investor advocates said on Thursday they were developing a proposal for U.S. securities regulators that will make it easier for retail…
SEC Panel Looks At Advisor Background Database, by Arthur D. Postal
InsuranceNewsNet.com (April 10, 2015) – A Securities and Exchange Commission (SEC) advisory group is considering the creation of a tool to make it easier for investors to obtain background…
PIABA Hails New Progress Toward "One Stop Shopping" For Background Checks On Financial Professionals
BloombergBusiness (April 9, 2015 3:18 pm) -- The Public Investors Arbitration Bar Association (PIABA) today applauded the Investor Advisory Committee of the U.S. Securities and Exchange Commission (…
SEC panel to call for better Wall Street disciplinary database, by Sarah N. Lynch
Reuters (Washington) (April 9, 2015 12:06 pm) -- A panel of investor advocates said on Thursday they were developing a proposal for U.S. securities regulators that will make it easier for retail…
SEC panel to call for better Wall Street disciplinary database, by Sarah Lynch
TheFiscalTimes.com (Reuters) (April 9, 2015) -- A panel of investor advocates said on Thursday they were developing a proposal for U.S. securities regulators that will make it easier for retail…
PIABA Hails New Progress Toward "one Stop Shopping" For Background Checks On Financial Professionals - Citing Its March 2014 Report, PIABA Urges Full Disclosure of All Information
InvestorIdeas.com (April 9, 2015) -- The Public Investors Arbitration Bar Association (PIABA) today applauded the Investor Advisory Committee of the U.S. Securities and Exchange Commission (SEC) for…
Brokerage Firm Defense Lawyer Attacks PIABA Advertising Report
stockmarketfraud.com blog (April 9, 2015) -- Not surprisingly, earlier this week, the securities arbitration defense bar issued a scathing reaction to the Public Investors Arbitration Bar Association…
Advocacy Group Wants Broader FA Background Checks, by Leslie Kramer
Investopedia.com (April 8, 2015) -- The Financial Industry Regulatory Authority's (FINRA) BrokerCheck tool has long been used by investors looking to do due iligence when hiring a financial advisor…
What Does "In Good Hands" Really Mean? by Dan Solin
HuffingtonPost.com (April 7, 2015 4:25 pm) -- Ethel Sprouse has a difficult life. She is a baby boomer from Cedar Bluff, Ala. Her husband has Alzheimer's disease. Her adult daughter is mentally…
PIABA Trolls The Fiduciary Duty Debate, by Bryan M. Ward
Law360, New York (April 07, 2015, 9:51 AM) -- On March 25, the Public Investors Arbitration Bar Association issued a self-described “review”[1] or “study”[2] (the report) finding that, in their…