PIABA Newsroom

COMMENT LETTER: SR-FINRA-2012-025 - Notice of Filing of Proposed Rule Change to Adopt FINRA Rule 5270 (Front Running of Block Transactions) in the Consolidated FINRA Rulebook (June 26, 2012)
COMMENT LETTER: Release No. IA-3060 - Amendments to Form ADV (June 18, 2012)
COMMENT LETTER: Release No. 34-66910 - Amendments to Financial Responsibility Rules for Broker-Dealers (June 8, 2012)
AMICUS BRIEF: Twenty-First Securities Corp. vs. Dr. Byron Crawford, Case No. 12-0058-cv, Brief of Amicus Curiae the Public Investors' Arbitration Bar Association in Support of Defendant-Appellee in Support of Affirmance (2nd Cir.Ct.App. June 8, 2012)
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In the Media

Lack of diversity among Wall St arbitrators threatens investors-group By Suzanne Barlyn
Reuters (October 7, 2014 9:30 am) -- Lawyers for investors charged on Tuesday that securities arbitrators are chosen from a limited pool of mostly elderly men, one of several flaws in Wall Street's…
FINRA Arb Panels Lack Diversity, Transparency: PIABA Study, by Melanie Waddell
ThinkAdvisor (October 7, 2014) -- The Financial Industry Regulatory Authority’s arbitration panels lack diversity and transparency about member biases, and the self-regulator’s recruiting practices…
PIABA Releases Study Criticizing Lack of Diversity of FINRA Arbitrator Pool
PIABA Releases Study Criticizing Lack of Diversity of FINRA Arbitrator Pool, Jill GrossIndisputably.org (October 7, 2014) -- At a press conference today and accompanying this press release, the…
FINRA arbitration pools lack diversity and transparency, PIABA report charges
FINRA arbitration pools lack diversity and transparency, PIABA report charges, by John M. Jascob, J.D.dailyreportingsuite.com (Securities Regulation Daily) (October 7, 2014)  -- A report released…
Group Faults Finra Arbitrators As Too Old, Too Male, by Kathy Lynch and Ted Knutson
Financial Advisor (October 7, 2014) -- Financial Industry Regulatory Authority arbitrators are too old and too male, the Public Investors Arbitration Bar Association (Piaba) contended Tuesday.…
Securities Arbitration Is Flawed, Investor Group Claims, by Carole Fleck
blog.aarp.org (October 7, 2014) -- Investors who bring disputes involving suspected broker misconduct, unsuitable investment advice and other complaints to arbitration may not be getting a fair…
Study: Industry-Run FINRA Arbitrator Pool Lacks Diversity And Fails To Detect, Communicate Potential Biases
As Win Rates for Investors Decline, New PIABA Report Shows 80 Percent of Arbitrators Are Male and the Average Age of Those Deciding Fate of Investors is 69; FINRA Claims Its Arbitrator Roster Is…
FINRA Says New Rule Would Cut, But Not Gut Arbitrator List, Ed Beeson
LexisNexis® Legal Newsroom Banking and Finance (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…
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…