PIABA Newsroom

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)
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 (July 14, 2005)
COMMNET LETTER: SR-NYSE-2005-02 - Proposed Rule Change and Amendment Nos. 1, 2 and 3 Relating to Amendments to Exchange Rule 607 (July 9, 2005)
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In the Media

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…
PIABA Pushes for Online Access to Stock Analyst Settlement Documents
PIABA Pushes for Online Access to Stock Analyst Settlement DocumentsInternet For Lawyers (February/March 2003) -- The Public Investors Arbitration Bar Association (PIABA) is pressing for the creation…
Lawyers Target Wall Street Following Regulatory Payoff, by Susanne Craig
Wall Street Journal (January 28, 2003 5:28 pm) -- The front lines in the latest legal skirmish involving Wall Street are forming here in a crowded conference room tucked at the back of the ritzy…
New Rule Will Make It Hard For Brokers to Hide Charges, by Susanne Craig
The Wall Street Journal (Updated October 3, 2002 11:00 pm) -- The National Association of Securities Dealers adopted rules that will make it harder for stockbrokers to erase disciplinary incidents…
California Fights NYSE, NASD On New Arbitrator Disclosures, by Susanne Craig
The Wall Street Journal (Updated August 30, 2002 11:01 pm) -- At the height of the tech boom, Joe and Janet Janssens say they took the advice of their Salomon Smith Barney broker and plowed much of…
The Fall Of Alan Bond, by Sakina P. Spruell
Once-prominent money manager found guilty of defrauding clientsBlack Enterprise (August 1, 2002) -- In September, money manager Alan Bond will be sentenced to up to 45 years in prison for cheating…
Brokerage watchdog fights for credibility, by Noelle Knox and Barbara Hansen
USA Today (May 23, 2002 10:07 pm) Plenty of investors are upset with their stockbrokers, but they are also losing faith that Wall Street's watchdog group will help them.Consider this: Investor…
NASD Proposes Tighter Rules For 'Expunging' Broker Missteps, by Susanne Craig
The Wall Street Journal (Updated May 2, 2002 11:01 pm) -- In August 2000, Virginia Hay filed an arbitration complaint against Salomon Smith Barney and its broker Lawrence Gordon. Her since-deceased…