PIABA Newsroom

COMMENT LETTER: SR-NASD-2004-183 - Notice of Filing of Proposed Rule and Amendment No. 1 Thereto Relating to Sales Practice Standards and Supervisory Requirements for Transactions in Deferred Variable Annuities; Corrected (September 8, 2005)
COMMENT LETTER: SR-NASD-2005-094 - Proposed Rule Change and Amendment No. 1 Thereto Relating to Amendments to the Classification of Arbitrators Pursuant to Rule 10308 of the NASD Code of Arbitration (September 8, 2005)
COMMENT LETTER: SR-NASD-2005-023 - Proposed Rule Change and Amendment No. 1 Thereto Relating to Representation in Arbitration and Mediation (August 9, 2005)
COMMENT LETTER: SR-NASD-2005-079 - Proposed Rule Change to Provide for a 10-Day Notice Requirement Before a Party Issues a Subpoena to a Non-Party for Pre-Hearing Discovery (August 3, 2005)
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In the Media

Regulators to Merge on Wall St., by Stephen Labaton
The New York Times (November 28, 2006) — The New York Stock Exchange and NASD announced plans on Tuesday to merge their regulatory organizations and eliminate duplicative and inconsistent rules,…
NASAA arbitration stance draws fire, Dan Jamieson
InvestmentNews (October 2, 2006 11:01 pm) -- Securities industry observers are expressing dismay that state regulators are pushing for elimination of the requirement that NASD arbitration panels…
NASD yanks arbitration proposal after protest from plaintiff's bar, Dan Jamieson
InvestmentNews (August 7, 2006 11:01 pm) -- In an unusual move, NASD has withdrawn a proposed amendment to its arbitration code.The proposal, filed in May with the Securities and Exchange Commission…
PIABA cries foul over arbitration proposal, by Dan Jamieson
InvestmentNews (July 7, 2006 11:01 pm) -- A major rewrite of NASD's arbitration code has erupted into controversy, with some plaintiff's attorneys accusing the self-regulatory organization of trying…
Is This Game Already Over? by Gretchen Morgenson
The New York Times (June 18, 2006) -- AFTER a Long Island charity that provides financial support for 190 current or former firefighters lost $614,036 in the stock market during the Internet bubble…
Investors Who Fought Arbitrator's Ties Win a Big Ruling Against Prudential, by Susanne Craig
The Wall Street Journal (June 6, 2006 11:01 pm) -- An arbitrator once accused of being in Wall Street's pocket was part of a panel that unexpectedly returned a $14.5 million penalty against a major…
Plaintiff's attorneys look for next big thing, by Dan Jamieson
InvestmentNews (October 10, 2005 11:01 pm) -- Securities plaintiff's attorneys are getting a bit of a breather.Attendees at the annual Public Investors Arbitration Bar Association meeting here this…
Lawyers' Group Wants to Remove Street's Influence on Arbitration, by Susanne Craig
The Wall Street Journal (Updated September 30, 2005 11:01 pm) -- An attempt by the National Association of Securities Dealers to reduce Wall Street's influence on arbitration panels that hear…
Life insurers bow to VA rule change, by Sara Hansard
InvestmentNews (September 26, 2005 11:01 pm) -- The life insurance industry is backing down in its battle against an NASD rule change aimed at creating suitability sales practice standards for…
10 Things Your Lawyer Won't Tell You
10 Things Your Lawyer Won't Tell YouSmart Money (August 29, 2005) --In case you ever doubted lawyers deserved their reputation...1. "You might win your lawsuit and wind up with nothing."