PIABA Newsroom

COMMENT LETTER: SR-FINRA-2014-012 - Proposed Rule Change To Amend FINRA Rules 2210 (Communications with the Public) and 2214 (Requirements for the Use of Investment Analysis Tools) (April 15, 2014)
COMMENT LETTER: SR-CBOE-2014-010 - Proposed Rule Change Relating to a Fee for Qualification Examination Waiver Requests (April 7, 2014)
COMMENT LETTER: California AB 2096 - Proposed New Corporations Code Section 25102(r) Exemption, Advertising (April 2, 2014)
COMMENT LETTER: SR-FINRA-2014-008 - Proposed Rule Change Relating to Protecting Personal Confidential Information in Documents Filed with FINRA Dispute Resolution (March 20, 2014)
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In the Media

PIABA Hails New Progress Toward "One Stop Shopping" For Background Checks On Financial Professionals
BloombergBusiness (April 9, 2015 3:18 pm) -- The Public Investors Arbitration Bar Association (PIABA) today applauded the Investor Advisory Committee of the U.S. Securities and Exchange Commission (…
SEC panel to call for better Wall Street disciplinary database, by Sarah N. Lynch
Reuters (Washington) (April 9, 2015 12:06 pm) -- A panel of investor advocates said on Thursday they were developing a proposal for U.S. securities regulators that will make it easier for retail…
SEC panel to call for better Wall Street disciplinary database, by Sarah Lynch
TheFiscalTimes.com (Reuters) (April 9, 2015) -- A panel of investor advocates said on Thursday they were developing a proposal for U.S. securities regulators that will make it easier for retail…
PIABA Hails New Progress Toward "one Stop Shopping" For Background Checks On Financial Professionals - Citing Its March 2014 Report, PIABA Urges Full Disclosure of All Information
InvestorIdeas.com (April 9, 2015) -- The Public Investors Arbitration Bar Association (PIABA) today applauded the Investor Advisory Committee of the U.S. Securities and Exchange Commission (SEC) for…
Brokerage Firm Defense Lawyer Attacks PIABA Advertising Report
stockmarketfraud.com blog (April 9, 2015) -- Not surprisingly, earlier this week, the securities arbitration defense bar issued a scathing reaction to the Public Investors Arbitration Bar Association…
Advocacy Group Wants Broader FA Background Checks, by Leslie Kramer
Investopedia.com (April 8, 2015) -- The Financial Industry Regulatory Authority's (FINRA) BrokerCheck tool has long been used by investors looking to do due iligence when hiring a financial advisor…
What Does "In Good Hands" Really Mean? by Dan Solin
HuffingtonPost.com (April 7, 2015 4:25 pm) -- Ethel Sprouse has a difficult life. She is a baby boomer from Cedar Bluff, Ala. Her husband has Alzheimer's disease. Her adult daughter is mentally…
PIABA Trolls The Fiduciary Duty Debate, by Bryan M. Ward
Law360, New York (April 07, 2015, 9:51 AM) -- On March 25, the Public Investors Arbitration Bar Association issued a self-described “review”[1] or “study”[2] (the report) finding that, in their…
Investor Help List -- Staying Informed and Knowing Where to Go for Help, by Susan Antilla
Mainstreet.com (New York) (April 7, 2015 5:45 am) -- Today's investors may feel overwhelmed by the abundance of information available, not all of it trustworthy. If you're looking for reliable…
Your money: Big brokers say ‘fiduciary’ but don’t live up to it, by Chuck Jaffe
Reading Eagle (April 5, 2015 11:01 PM) -- They say that if something looks, acts and quacks like a duck, it must be a duck.But what if you take a bite of it and it tastes like chicken?That's the…