PIABA Newsroom

AMICUS BRIEF: James Roland, et at vs. Jason Green, et al., Case No. 11-10932 and 11-11048 Brief of Public Investors Arbitration Bar Association as Amicus Curiae, U.S. 5th Cir. Ct. of App. (March 9, 2012)
COMMENT LETTER: SR-FINRA-2012-11 - Discretion to Determine Mediator (February 28, 2012)
AMICUS BRIEF: Morgan Keegan v. John J. Garrett; et al. Craig J. McCann and John J. Garrett; et al. v. Morgan Keegan, Case No. 11-20736, Civil Action No. 4:10-cv-04308 Amicus Curiae of the Public Investors Arbitration Bar Association (5th Cir.App. January 18, 2012)
AMICUS BRIEF: James Roland, et al v. Jason Green, et al. consolidated with Leah Farr v. Jason Green et al, Case No. 11-10932, Amicus Curiae Brief of the Public Investors Arbitration Bar Association (5th Cir.Ct.App. November 21, 2011)
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In the Media

The Price Might Not Be Right! Are Your Financial Advisor's Commissions Legally Sky-High? by Robert Gershman
Forbes (June 25, 2014 10:04 am) -- Recently, I gave a presentation to a philanthropic group where I asked this question: “Do you know how much advisors and their firms make from the investments they…
SEC raises red flag over Finra enforcement referral rule, by Mark Schoeff Jr.
Commission is concerned that investors could be harmed in arbitration casesInvestmentNews (June 3, 2014 11:37 am) -- Citing concerns over investor protection, the Securities and Exchange Commission…
Exam scores and failures belong on BrokerCheck, by Ben Edwards
Brokers' exam scores, exam failures, terminations and other details that are currently omitted are already public informationInvestmentNews (June 1, 2014 11:01 pm) -- A fierce struggle continues to…
One Way Advisors Can Find Funds With The Potential To Outperform, by Mamta Badkar
Business Insider Indonesia (May 17, 2014 6:57 AM) -- Advisors looking at active share — percentage of investments that are separate from those in the fund’s passive benchmark — should keep a few key…
Brokers find it harder to wipe slate clean, by Mason Braswell
Public pressure on Finra's expungement process has arbitrators thinking twice about erasing disclosure events, attorneys on both sides agreeInvestmentNews (May 16, 2014 10:20 am) -- Heightened…
Trust But Verify: Regulators Demand Banks Verify Brokers' Background, by Roger Gershman
Forbes (May 13, 2014 9:43 am) -- Readers of my blog know I am a vocal critic of the investment industry because of its lack of transparency. I’ve not only taken investment banks to task for their…
PIABA Joins NASAA in Filing Amicus Briefs in Support of Finra's Appeal of the Schwab Decision
PIABA Joins NASAA in Filing Amicus Briefs in Support of Finra's Appeal of the Schwab DecisionReuters (May 9, 2013) -- The Public Investors Arbitration Bar Association [PIABA] has joined with the…
Checking Up on Your Broker, by Kathy Kristof
Finra’s popular BrokerCheck tool is a start, but it might not reveal everything you need to know about an investment adviser.Kiplinger (May 9, 2014) - Responding to horror stories of brokers who run…
Careful investors turn to resources to check up on money advisers, by Claudia Buck
The Seattle Times (May 3, 2014 11:00 pm) -- When New York financier Bernard Madoff was sentenced to life in prison for masterminding one of the biggest Ponzi schemes in U.S. history, it was an…
Seeing writing on wall from Finra, Schwab throws in towel on class action lawsuit, by Mark Schoeff Jr. and Mason Braswell
As regulator made it clear it was ready to fight tooth and nail, firm moves to settle, pay a fineInvestmentNews (April 25, 2014 2:51 pm) -- For more than two years, Charles Schwab & Co. has been…