PIABA Newsroom

COMMENT LETTER: SR-FINRA-2013-018 - Notice of Filing of a Proposed Rule Change Relating to FINRA Rule 8313 (Release of Disciplinary Complaints, Decisions and Other Information) (April 15, 2013)
COMMENT LETTER: Regulatory Notice 13-07 - Proposed FINRA Rules Governing Markups, Commissions and Fees (March 26, 2013)
COMMENT LETTER: Regulatory Notice 13-02 - Proposed Rule to Require Disclosure of Conflicts of Interest Relating to Recruitment Compensation Practices (March 5, 2013)
PRESS RELEASE: PIABA Denounces FINRA Hearing Board Decision Allowing Charles Schwab to Require Its Clients to Waive Right to Bring Class Actions (February 28, 2013)
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In the Media

U.S. court affirms SEC stance on withholding Wall Street arbitration records, by Suzanne Barlyn
Reuters (November 14, 2014 11:51 am) - The U.S. Securities and Exchange Commission does not have to release records about its supervision of Wall Street's arbitration process to a group of investors…
UPDATE 1-U.S. court affirms SEC stance on withholding Wall St arbitration records, by Suzanne Barlyn
(Adds detail in 5th paragraph on judge's concurring opinion; comment from PIABA's lawyer in 7th paragraph)Reuters (November 14, 2014 11:50 am) -- The U.S. Securities and Exchange Commission does not…
SEC not required to release exam records for FINRA arbitrations, by By Rodney F. Tonkovic, J.D.
dailyreportingsuite.com (Securities Regulation Daily) (November 14, 2014)  -- The D.C. Circuit has held that the SEC can invoke the Freedom of Information Act to withhold documents collected from…
COMPLY-Investors' lawyers to tackle brokerage insurance mandate, By Suzanne Barlyn
Reuters (November 6, 2014 3:26 pm) - (Adds comment by FINRA, paragraph 8) When a couple that ran a Marietta, Georgia-based securities brokerage went bankrupt late last month, it caused a ripple…
COMPLY-Investors' lawyers to tackle brokerage insurance mandate, By Suzanne Barlyn
Reuters (November 6, 2014 10:02 am) - When a couple that ran a Marietta, Georgia-based securities brokerage went bankrupt late last month, it caused a ripple effect. One of the people who expects to…
U.S. court affirms SEC stance on withholding Wall Street arbitration records, by Suzanne Barlyn
gnewstech.com (November 4, 2014) - The U.S. Securities and Exchange Commission does not have to release records about its supervision of Wall Street's arbitration process to a group of investors'…
Finra names new head of arbitration, by Mark Schoeff, Jr.
A 19-year veteran of the organization will replace Linda Fienberg on Dec. 1InvestmentNews (October 30, 2014 4:37 pm) -- The Financial Industry Regulatory Authority Inc. has selected Richard W. Berry…
No Big Loss if Insurance Costs Put Brokers Out of Business, by Susan Antilla
TheStreet (October 27, 2014 9:00 am) -- The bar association for lawyers who represent investors in Finra arbitration met in La Quinta, Calif., last week to discuss regulatory trends, litigation…
Fighting Your Broker in Arbitration? Finra 'Judges' Give Some Tips, Susan Antilla
TheStreet (October 27, 2014 5:00 am) -- You may think you have an open-and-shut case against a stockbroker who's a 10 on the sleaze scale. But the arbitrators who hear cases against Wall Street's…
Wall Street watchdog, US states mull new system to clean up brokers' records, by Suzanne Barlyn
Reuters (October 23, 2014 4:32 pm) -- Wall Street's industry-funded watchdog and U.S. state securities regulators are considering whether to develop a new type of regulatory process for brokers to…