PIABA Newsroom

COMMENT LETTER: SR-FINRA-2008-005 - Notice of Filing of Proposed Rule Change Relating to Amendments to the Codes of Arbitration Procedure to Permit Submissions to Arbitrators After a Case Has Closed Under Limited Circumstances (April 18, 2008)
COMMENT LETTER: SR-FINRA-2008-009 - Notice of Filing of Proposed Rule Change to the Code of Arbitration Procedure for Customer Disputes and the Code of Arbitration Procedure for Industry Disputes to Amend the Chairperson Eligibility Requirements (April 16, 2008)
COMMENT LETTER: SR-FINRA-2007-021 - Notice of Filing of Proposed Rule Change & Amendment No. 1 Relating to Amendments to the Code of Arbitration Procedure for Customer Disputes & the Code of Arbitration Procedure for Industry Disputes to Address Motions to Dismiss & to Amend the Eligibility (March 18, 2008)
COMMENT LETTER: SR-FINRA-2007-042 - Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the Codes of Arbitration Procedure to Remove the Page Limit on Statements of Claim Filed Through the Online Arbitration Claim Filing System (February 25, 2008)
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In the Media

Finra opens arb system to RIAs, by Bruce Kelly
Move by regulator not related to SRO push; 'requests from attorneys'InvestmentNews (October 25, 2012 11:24 pm) -- The Financial Industry Regulatory Authority Inc. has opened up its arbitration system…
Crowd funding could come back to bite broker-dealers, by Bruce Kelly
Risks include lack of information, new reporting standards, Abshure saysInvestmentNews (October 25, 2012 10:44 am) -- New laws that ease restrictions on raising money for small, private companies…
UPDATE 2-U.S. appeals court reinstates Morgan Keegan ruling
* Appeals court reinstates $9.2 million ruling* Says district court erred in throwing out awardReuters (October 23, 2012 5:49 pm) - A federal appeals court on Tuesday reinstated a $9.2 million…
Taking a stand for investors, by Bruce Kelly
Judge Rakoff presses for accountabilityInvestmentNews (October 7, 2012 11:01 am) --U.S. District Judge Jed S. Rakoff shook the securities establishment to its core in 2009 when he refused to sign off…
Expungement ruling could have wide impact, by Dan Jamieson
InvestmentNews (September 2, 2012 11:01 pm) -- A California appeals court ruling that makes it easier for brokers to expunge customer complaints and disciplinary actions from their records could have…
Ruling could help reps get rid of BrokerCheck blemishes, by Dan Jamieson
Court decides in favor of rep seeking expungement of Finra file; 'big uptick' in cases possibleInvestmentNews (August 31, 2012 10:29 am) -- A California appeals court ruling that makes it easier for…
Wall Street’s Kangaroo Court Gets a Black Eye, By William D. Cohan
gulfnews.com (August 1, 2012) - “Sunlight is said to be the best of disinfectants,” the future Supreme Court Justice Louis Brandeis famously wrote in a 1913 article for Harpers’ Weekly, and now,…
Wall Street's Kangaroo Court Gets A Black Eye, by Will D Cohan
disquis.com (Bloomberg) (July 31, 2012) - “Sunlight is said to be the best of disinfectants,” the future Supreme Court Justice Louis Brandeis famously wrote in a 1913 article for Harpers’ Weekly,…
Wall Street’s Kangaroo Court Gets a Black Eye, by William D Cohan
BloombergBusiness (July 30, 2012 2:29 pm) -- “Sunlight is said to be the best of disinfectants,” the future Supreme Court Justice Louis Brandeis famously wrote in a 1913 article for Harpers’ Weekly,…
Cohan: Time to shut down Finra's arbitration panels, by William D. Cohan
Those with a grievance should be able to make their case in a real court of lawInvestmentNews (July 30, 2012 10:44 am) -- “Sunlight is said to be the best of disinfectants,” the future Supreme Court…