PIABA Newsroom

PIABA RULE PROPOSALS: Proposed Rule Change Submitted to Securities and Exchange Commission affecting Elimination of FINRA-DR Mandatory Industry Arbitrator Pursuant to Commission Rule of Practice 192(1) (June 11, 2009)
COMMENT LETTER: SR-FINRA-2009-013 - FINRA Proposed Rule Change Relating to Tolling Provisions, FINRA Rules 12206 and 1326 (April 28, 2009)
COMMENT LETTER: SR-FINRA-2009-008 - FINRA Proposed Rule Change Relating to Proposed Chages to Forms U4 and U5 (April 13, 2009)
COMMENT LETTER: SR-FINRA-2009-024 - FINRA Proposed Rule Change and Amendment No. 1 Thereto Relating to Amendments to the Discovery Guide to Update the Document Production Lists (March 27, 2009)
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In the Media

FINRA's Statement on PIABA's Expungement Study
FINRA.org (October 16, 2013) -- PIABA's study underlines and emphasizes serious concerns FINRA shares with respect to the expungement process. As a result of these concerns, FINRA recently provided…
Lawyers say FINRA lets brokers sanitize records of complaints, by Suzanne Barlyn
Reuters (October 16, 2013) - Brokers who seek to erase black marks from their public records succeed at an "alarmingly high" rate following settlements with investors who alleged they lost money,…
Too easy for brokers to clean records, lawyers say, by Mark Schoeff
looktowink.com (October 16, 2013) -- Brokers who are the subject of investor arbitration cases can clear their record of any wrongdoing too easily, according to a lawyers’ group that represents…
Group Says Finra Rubber-Stamping Requests To Clean Up Broker Records, Dan Jamieson
Financial Advisor (October 16, 2013) --  It’s far too easy for brokers to clean up their disciplinary records, says a new study of arbitrator-ordered expungements.            Finra arbitrators are…
Alleged wrongdoing by stockbrokers often erased from public records, study finds, by Walter Hamilton
Los Angeles Times (October 16, 2013) -- Alleged wrongdoing by stockbrokers is routinely erased from public records, making it difficult for investors to check the past conduct of financial advisers…
Stockbroker Arbitration Slates Wiped Clean 9 out of 10 Times
Troubling Findings Raise Question:  Are Investors Being Kept in the Dark About Arbitration Cases?finanzen.ch (October 16, 2013) – Investors who rely on public records to check out the background of…
Wall Street watchdog signals new hurdles for clearing brokers' records, by Suzanne Barlyn
corney conchie (October 15, 2013) -- Wall Street's industry-funded watchdog issued new guidance late Monday that gives arbitrators more information about their responsibilities in a process that…
Wall Street watchdog signals new hurdles for clearing brokers' records, by Suzanne Barlyn
Reuters (October 14, 2013 6:36 pm) - Wall Street's industry-funded watchdog issued new guidance late Monday that gives arbitrators more information about their responsibilities in a process that…
Wall Street watchdog signals new hurdles for clearing brokers' records, by Suzanne Barlyn
RocketNews (Reuters) (October 14, 2013 6:36 pm) - Wall Street's industry-funded watchdog issued new guidance late Monday that gives arbitrators more information about their responsibilities in a…
6 Pointed Questions To Ask Before Hiring A Financial Advisor, by Kenneth G. Winans
Forbes (September 20, 2014 9:01 am) -- This is a guest post by Kenneth G. Winans,  a veteran investment manager based in Novato, Calif.  Despite what you might read elsewhere about managing your own…