PIABA Newsroom
In the Media
Reuters (March 14, 2013 5:23 pm) - A federal judge ruled on Thursday that U.S. securities regulators do not need to publicly release records of their oversight of the Financial Industry Regulatory…
Wall Street On Parade (February 27, 2013) -- As questions swirl as to why New York University, a nonprofit subsidized by the taxpayer, used endowment funds from its law school foundation to provide…
USAToday (February 23, 2013 11:53 am) -- Money Watch, a personal finance column that runs every Saturday, features a financial planner from the National Association of Personal Financial Advisors…
More brokerage firms are expected to demand that customers give up their right to file class actions against themInvestmentNews (February 24, 2013 11:01 pm) -- More brokerage firms are expected to…
Reuters (January 28, 2013) -- A proposal to limit when people with certain ties to the securities industry are called to decide cases of aggrieved investors is a step in the right direction, but does…
Trends show they still play a role, despite use of public panelistsInvestmentNews (Janusary 20, 2013 11:01 pm) -- ome observers have speculated that industry arbitrators may become a thing of the…
ARS settlements and tougher compliance result in a dearth of casesInvestmentNews (Janusary 20, 2013 11:01 pm) -- oPlaintiff's lawyers are the latest victims of the bear market, complaining that while…
RIABiz.com (December 6, 2012) -- Brooke’s Note: For us laymen, the whole FINRA-as-SRO issue is confoundingly confusing at times and certainly requires more space on the old mental hard drive than we’…
Reuters (November 2, 2012 12:43 pm) -- Wall Street's industry-funded watchdog does not have an official say over registered investment advisers, but it is not shy about stepping up with a solution to…
The Wall Street Journal (Updated October 26, 2012 1:56 pm) - A U.S. district court has upheld an arbitration panel's half-a-million dollar award against Merrill Lynch, capping a controversy in which…