PIABA Newsroom

COMMENT LETTER: SR-FINRA-2010-039 - Notice of Filing of Proposed Rule Change to Adopt FINRA Rules 2090 (Know Your Customer) and 2111 (Suitability) in the Consolidated FINRA Rulebook; Correction (December 14, 2010)
COMMENT LETTER: Pre-Dispute Arbitration: Title IX Provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act (December 3, 2010)
COMMENT LETTER: SR-FINRA-2010-053 - Proposed Rule Change Relating to Amendments to the Panel Composition Rule, & Related Rules, of the Code of Arbitration (December 3, 2010)
COMMENT LETTER: SR-FINRA-2010-036 - Notice of Filing of Proposed Rule Change to Amend the Codes of Arbitration Procedure to Permit Arbitrators to Make Mid-Case Referrals (October 11, 2010)
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In the Media

PIABA Warning: FINRA Withholds Critical "Red Flag" Information In Broker Background Check Disclosures To Investors
The Telegraph (March 6, 2014) -- Investors who rely on the BrokerCheck disclosure system maintained by the Financial Industry Regulatory Authority (FINRA) to check out the background of their current…
Finra's BrokerCheck comes under fire Database omits bankruptcies, tax liens, and other vital information, lawyers group claims, by Mason Braswell and Mark Schoeff Jr.
InvestmentNews.com (March 6, 2014 10:54 am) -- Finra's BrokerCheck system does not go far enough in disclosing important information needed by investors, a group of plaintiff's attorneys who…
Finra's BrokerCheck comes under fire, by Mark Schoeff Jr., Mason Braswell
Muck Rack (investmentnews.com) (March 6, 2014 10:54 am) — Finra's BrokerCheck system does not go far enough in disclosing important information needed by investors, a group of plaintiff's attorneys…
Finra's BrokerCheck comes under fire, by Mason Braswell and Mark Schoeff Jr.
Database omits bankruptcies, tax liens, and other vital information, lawyers group claimsInvestmentNews (March 6, 2014 10:54 am) --Finra's BrokerCheck system does not go far enough in disclosing…
Investor lawyers find fault with FINRA broker disclosures, by Suzanne Barlyn
(Corrects 9th and 10th paragraph to clarify that Dobin has been approached by grandfathers with legal problems from their youth, such as shoplifting. He has not represented a grandfather with a…
FINRA’s Statement on PIABA’s Public Disclosure Study
FINRA.org (March 6, 2014) -- As part of its ongoing mission to protect investors, FINRA created BrokerCheck, the only online, free database providing relevant information for investors 24 hours a day…
Finra Not Including Some Red Flags On Brokers
Finra Not Including Some Red Flags On BrokersFinancialAdvisor (Reuters) (March 6, 2014) -- The Financial Industry Regulatory Authority was accused of hiding red flags about brokers from its…
PIABA Claims that FINRA is Withholding Critical "Red Flag" Information in Broker Background Check Disclosures to Investors, by Brent A. Burns
Securities Litigation and Arbitration (NY State Bar Association) (March 6, 2014) -- Today the Public Investor Arbitration Bar Association issued a press release about a study urging congress to pass…
One More Reason Not to Trust Your Broker, by Shah Gilani
wallstreetinsightsandindictments.com (March 6, 2014) -- I’ve written about the dangers of relying on stockbrokers before. In fact, back in October, I warned you: “Don’t Let Your Broker Make You Broke…
FINRA’s BrokerCheck ‘Hides’ Criminal Records, Has Other Holes, Study Says, by Melanie Waddell
PIABA study says extent of omitted “red flag” information is “so serious that unwitting investors” could hire brokers with criminal recordsThinkAdvisor (March 6, 2014) -- The Financial Industry…