PIABA Newsroom

AMICUS BRIEF: Raymond James Financial Services, Inc vs. Barbara J. Phillips, et al, No. SC11-2513, On Discretionary Review from the Second District Court of Appeal of Florida (Dist. Ct. App. Case No. 2D10-2144) (June 1, 2012)
COMMENT LETTER: Regulatory Notice 12-18 - Comment on Proposed New In re Expungement Procedures for Persons Not Named in a Customer-Initiated Arbitration (May 18, 2012)
COMMENT LETTER: California AB 2081: Proposed New Corporations Code Section 25102(r) Exemption, Advertising (April 11, 2012)
COMMENT LETTER: Regulatory Notice 12-14 - Comment on Proposed Amendments to NASD Rule 2340 to Address Values of Unlisted Direct Participation Programs and Real Estate Investment Trusts (April 11, 2012)
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In the Media

FINRA Says New Rule Would Cut, But Not Gut Arbitrator List, by Ed Beeson
Law360, New York (October 6, 2014 1:18 pm) -- The Financial Industry Regulatory Authority last week revealed that its plan to bar people who have worked in the securities industry from serving as…
Investor Lawyers Target Lack Of Diversity Of Wall Street Arbitrators
ThinkAdvisor (Reuters) (October 6, 2014) -- The race, gender and age of securities arbitrators bear little resemblance to the broad population of U.S. investors, a group of investor lawyers said on…
Investor Lawyers Target Lack Of Diversity Of Wall Street Arbitrators
FinancialAdvisor (Reuters) (October 6, 2014)  -- The race, gender and age of securities arbitrators bear little resemblance to the broad population of U.S. investors, a group of investor lawyers…
Investor lawyers target lack of diversity of Wall St. arbitrators, by Suzanne Barlyn
Reuters (October 3, 2014 11:52 am ) -- The race, gender and age of securities arbitrators bear little resemblance to the broad population of U.S. investors, a group of investor lawyers said on Friday…
Rule Proposal For New Hire Background Checks Moving To SEC, by Mark Schoeff Jr.
RIACentral.com (September 25, 2014) -- Finra is pushing ahead with a rule-change that would require brokerage firms to vet new hires more thoroughly. The regulatory agency sent a rule to the SEC that…
A Murky Process Yields Cleaner Professional Records for Stockbrokers, by Susan Antilla
The New York Times (September 24, 2014 7:40 pm) -- As a former stockbroker whose regulatory file included 41 customer complaints and a job termination, Kathleen J. Tarr was concerned that her…
PIABA: SEC Should Reject "Radical" Finra Plan To Shift Attorneys For Investors Into Industry Arbitrator Pool
Further Drop in Already Weak Investor Confidence in FINRA Arbitration Feared If Step Moves Ahead; "Non-Public Arbitrator" Category Should Encompass All With Direct and Indirect Ties to Securities…
Got a Beef With Your Broker? Wall Street, Attorneys Fight Over How to Fix Complaint Process, by Suzanne Barlyn
Wall Street and attorneys representing investors can't agree how to improve the arbitration system used to settle disputes between brokerages and their customers.Money (August 1, 2014) -- A proposal…
Wall Street arbitration reform proposal faces rocky path, by Suzanne Barlyn
Reuters (July 31, 2014) -- A proposal to strengthen the arbitration process that aggrieved investors use against securities brokers is running into obstacles just as the U.S. Securities and…
Wall Street arbitration reform proposal faces rocky path, by Suzanne Barlyn
ownzones.com (Reuters) (July 31, 2014) -- A proposal to strengthen the arbitration process that aggrieved investors use against securities brokers is running into obstacles just as the U.S.…