PIABA Newsroom

COMMENT LETTER: Release No. 34-51181 - Proposed Rule Change by the NASD, Inc. Relating to Amendments to Rule 2340 (Customer Account Statements) (March 9, 2005)
COMMENT LETTER: Release No. 34-50213 - Certain Broker-Dealers Deemed Not To Be Investment Advisers (February 4, 2005)
PRESS RELEASE: Investor Advocates Support Concept of Investor Choice in Requiring Arbitrators to Explain Awards to Customers and Call for Additional Changes to Industry Mandated Arbitrator System, Rosemary Shockman, 2005 PIABA President (February 4, 2005)
COMMENT LETTER: SR-NYSE-2004-13 - Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto by the New York Stock Exchange, Inc. to Adopt Rule 405A (“Non-Managed Fee-Based Account Programs – Disclosure and Monitoring”) (November 19, 2004)
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In the Media

I Have Some Bad News, Dear..., Matthew Goldstein
siliconinvestor.com (February 24, 2000) -- YOU WON'T SEE Kathleen Nyquist's story in those edgy, online-trading-is-fun television commercials for E*Trade Group (EGRP). Nyquist, a 44-year-old writer…
TECHNOLOGY DOESN'T TRUMP SUITABILITY REGS: BIG BROTHER EYES ONLINE TRADE WATCH, by Sara Hansard
InvestmentNews (October 18, 1999 11:01 pm) -- Online brokerages exploiting new technology to inform customers of certain investment opportunities are doing so at their own risk.The nation's top…
U.S. agency insuring stock accounts will cover thefts but why not fraud?, Jane Bryan Quinn
baltimoresun.com (August 30, 1999) -- WHEN you open a stockbrokerage account, you're safeguarded by the Securities Investor Protection Corp. (SIPC). But what, exactly, are you covered for? Not as…
'Small' claimants against brokers face tough odds, Jane Bryan Quinn
baltimoresun.com (May 26, 1997) -- HAVE YOU FILED for an arbitration hearing because a stockbroker did you wrong? Big losers can easily find lawyers to help, but not those who've been stripped of a "…
EVEN FOR SMALL INVESTORS, ARBITRATING BEEFS CAN PAY OFF, Jane Bryant Quinn
highbeam.com (May 18, 1997) -- Have you filed for an arbitration hearing because a stockbroker did you wrong? Big losers can easily find lawyers to help, but not those who've been stripped of a ``…
SECURITIES ABUSE: Arbitration process often more traumatic than actual loss, Jane Bryant Quinn
The Pantagraph (May 11, 1997) -- If a panel couldn't be created from this list, the NASD would appoint one. That worries the consumer lawyers, who don't want the NASD to have any discretion over who'…
Consumer Complaints Prompt Arbitration Reform, Jane Bryant Quinn
sun-sentinel.com (May 10, 1997) -- I keep hearing from readers _ some livid, some anguished _ who say they've been abused by the securities industry.First, they lost serious money because their…
As Securities Arbitration Rises, So Does Claims Help, by Bill Barnhart
Chicago Tribune (August 30, 1993) -- Walter Hojka of Chicago got lucky in the 1980s and made more than $1 million on an oil venture. He was looking for a place to invest the proceeds when he got an…