PIABA Newsroom

COMMENT LETTER: SR-NASD-2003-158 - Proposed Rule Change and Amendment Nos. 1, 2, 3, and 4 Thereto to Amend NASD Arbitration Rules for Customer Disputes (August 2, 2005)
COMMENT LETTER: SR-NYSE-2005-43 - Proposed Rule Change & Amendment No. 1 thereto to Rule 607 Relating to the Classification of Arbitrators as Public or Industry (July 29, 2005)
COMMENT LETTER: SR-NASD-2005-046 - Proposed Rule Change and Amendment Nos. 1 and 2 thereto Amending the Arbitration Fees Applicable to Certain Statutory Employment Discrimination Claims (July 22, 2005)
COMMENT LETTER: SR-NASD-2005-032 - Proposed Rule Change & Amendment Nos. 1 & 2, to Provide Written Explanations in Awards Upon the Request of Customers, or of Associated Persons in Industry Controversies (July 15, 2005)
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In the Media

NASD Sanitizes Arbitration Panel: Public Arbitrators Must Be Public, by Kristen French
WealthManagement.com (July 27, 2005) -- The NASD took steps this week to make sure securities arbitration panels truly represent the public. The regulator proposed banning from serving as public…
Is Costly New FINRA Ad Campaign Misleading?, by Ann Marsh
FinancialPlanning (June 3, 2005 8:47 am) -- Costly new FINRA ads – complete with an animated explosion and created by top ad agency Ogilvy & Mather – urge investors to "Check your broker."Yet the…
NASD closer to posting brokers' disciplinary histories online, by Sara Hansard
InvestmentNews (April 18, 2005 11:01 pm) -- The House of Representatives for the third time has passed legislation that would allow investors to get information over the Internet about brokers'…
Lawmakers Are Asked to Abolish Wall Street's Slot in Arbitrations, by Susanne Craig
The Wall Street Journal (Updated March 17, 2005 11:01 pm) -- For years, small investors have groused that securities arbitration, the main forum for hearing customer complaints, is stacked against…
NASD May Require Written Decisions From Arbitrators, by Susanne Craig
Investors Would Be Entitled To Explanations of Outcomes Under a Proposed NASD RuleWall Street Journal (Updated January 28, 2005 11:01 pm) -- In what could be a victory for small investors,…
The Brokers Strike BackThe Brokers Strike Back, by Emily Thornton
Bloomberg (August 15, 2004) -- Wall Street is sending a tough message to investors: Beware of suing your brokers -- they might just sue you back. Brokerage firms are playing hardball with investors…
Are Investors Walled Off From Justice?, By Gary Weiss, with David Serchuk
Bloomberg (March 21, 2004) - Rick Tripi is a blue-collar worker who lives in a suburb of New York City and, like many small investors, he had high hopes of cashing in on the 1990s bull market. What…
Sure, Go After Your Broker--If You Kept Good Notes, by Susan Scherreik
BloombergBusiness (May 11, 2003 ) -- Want to make Wall Street pay for its sins? Here's your chance. The landmark analyst fraud settlement establishes a $387.5 million restitution fund for investors…
What's an Investor to Do? by Josephine Hearn
Some may call it "chicken feed," but the global Wall Street settlement includes a $387 million restitution fund for investors who lost money due to fraudulent analysis. So how does one go about…
Equitable distribution of monies, arbitration reform issues at the forefront, by Sara Hansard
"Where is the compensation for the victim as the shareholder? He has lost his money through believing that the markets would police themselves."InvestmentNews (April 14, 2003 11:01 pm) -- As the dust…