Investment News (February 27, 2016) – According to a report released this week by the Public Investor Arbitration Bar Association (PIABA), of the 225 FINRA arbitration awards that were handed down in…
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In the Media
Broker-Dealer Law Corner (February 26, 2016) -- Once again, I found myself gritting my teeth in frustration after reading yet another PIABA report complaining about some perceived inequity in the…
Securities Arbitration Commentator (February 26, 2016) -- On the same day, February 25, the Public Investors Arbitration Bar Association issued a Report and a News Release and held a press conference…
PIABA wants Finra to create a national recovery pool funded by brokeragesInvestmentNews (February 25, 2016 12:34 pm) -- The Financial Industry Regulatory Authority Inc. is doing a lousy job at…
PIABA wants Finra to create a national recovery pool funded by brokerages InvestmentCash (February 25, 2016 12:34 pm) -- The Financial Industry Regulatory Authority Inc. is doing a lousy job at…
Victim of Unpaid Award Speaks Out About Devastating Consequences; Industry-Funded Recovery Pool is Best Option to Address Major Threat to Investor Confidence in Marketplace Fairness.Sys-Con Media (…
Financial Advisor (November 16, 2015) -- With robo-advisors gaining steam, should the computer programming wizards behind them be held to a fiduciary standard?Talk to experts and you get a firm, “…
blogs.wsj.com/moneybeat (November 3, 2015 4:30 am) -- Attorneys call for slowdown on Finra’s arbitration unit changes. Lawyers who represent investors in cases against the securities industry are…
Indisputably (November 13, 2015) -- In 2000, NASD (now FINRA) spun off its dispute resolution subsidiary from its regulatory functions to bolster investors’ perception that the forum is neutral and…
InvestmentNews (November 2, 2015 12:56 pm) -- Plaintiffs' attorneys representing investors are calling on Finra to slow down a proposal that would bring its dispute resolution arm back in house.The…