PIABA Newsroom

COMMENT LETTER: File No. 4-606 - Duties of Brokers, Dealers, and Investment Advisers (July 3, 2013)
PRESS RELEASE: Norman, OK, PIABA Joins NASAA in Filing Amicus Briefs in Support of FINRA’s Appeal of the Schwab Decision, Scott C. Ilgenfritz, President (May 9, 2013)
AMICUS BRIEF: FINRA National Adjudicatory Counsel Department of Enforcement vs. Charles Schwab & Company, Inc., Disciplinary Proceeding No. 2011029760201, Amicus Curiae Brief in Support of FINRA's Department of Enforcement (FINRA NAC May 8, 2013)
PRESS RELEASE: PIABA Joins with Lawmakers and Regulators in Support of a Ban on Forced Wall Street Arbitration (May 2, 2013)
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In the Media

Investor, consumer groups call on Finra to release more arbitration data -- As task force reviews process, regulator pushed to fess up on selection of arbitrators, award collections and case statistics, by Mark Schoeff Jr.
InvestmentNews.com (January 21, 2015 1:19 pm) -- Several investor advocacy and consumer organizations called on Finra Wednesday to release more data and information about its arbitration system for…
The Street’s Due-Process Joke, by Jim McTague
Barrons.com (January 21, 2015) -- Here’s an outrage crying out for congressional redress: One class of Americans is routinely denied due process under the law. Their legal complaints are heard by…
Consumer Groups Ask Finra To Increase Arbitration Transparency, by Karen DeMasters
Financial Advisor (January 21, 2015) -- In a joint letter to the Finra Dispute Resolution Task Force sent Wednesday, the groups asked the task force to release information gathered in mandated…
Groups Urge Transparency from FINRA on Forced Investor Arbitration
Fair Arbitration Now (January 21, 2015) -- Nine consumer and investor organizations submitted a letter this week  to the FINRA Dispute Resolution Task Force seeking transparency on the task force’s…
SEC Approves FINRA Rule to Beef Up Background Checks
Openonline.com (January 13, 2015) -- The Securities and Exchange Commission (SEC) approved a Financial Industry Regulatory Authority (FINRA) rule that mandates firms strengthen the background…
Wall Street’s Watchdog Doesn’t Disclose All Regulatory Red Flags, by Jean Eaglesham and Rob Barry
Finra Doesn’t Make Public All Its Information About BrokersWall Street Journal (December 26, 2014 8:47 pm) -- Wall Street’s own national watchdog doesn’t make public all the regulatory red flags it…
Arbitration - what you don't know about fine print can hurt you: Plain Dealing, by Sheryl Harris
cleveland.com (November 28, 2014 6:30 am) -- Most of us know more about Kim Kardashian's rear end than we do about those pesky arbitration clauses found in our credit card, cell phone and online…
PIABA Loses FOIA Suit Against SEC Seeking FINRA Arbitration Program Records
PIABA Loses FOIA Suit Against SEC Seeking FINRA Arbitration Program Recordssacarbitration.com (November 20, 2014) -- Right after we went to press last week came news that the D.C. Circuit had ruled…
PIABA Loses FOIA Suit Against SEC Seeking FINRA Arbitration Program Records
SAC.com (November 20, 2014) -- Right after we went to press last week came news that the D.C. Circuit had ruled against PIABA in its suit against the SEC seeking disclosure under the Freedom of…
Federal Court Kills PIABA FOIA SEC Demand For FINRA Records
Federal Court Kills PIABA FOIA SEC Demand For FINRA Records, by Bill SingerBrokerAndBroker.com (November 17, 2014) -- According to the homepage of The Financial Industry Regulatory Authority ("FINRA…