PIABA Newsroom

COMMENT LETTER: SR-FINRA-2021-041 - Proposed rule change to amend FINRA's Customer and Industry Codes of Arbitration Procedure (October 4, 2012)
COMMENT LETTER: Regulatory Notice 12-34 - FINRA Requests Comment on Proposed Regulation of Crowdfunding Activities (August 30, 2012)
COMMENT LETTER: SB 978 (Price and Vargas) - Securities transactions: exemption from qualification requirements (June 28, 2012)
COMMENT LETTER: SR-FINRA-2012-025 - Notice of Filing of Proposed Rule Change to Adopt FINRA Rule 5270 (Front Running of Block Transactions) in the Consolidated FINRA Rulebook (June 26, 2012)
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In the Media

NASAA Statement on PIABA Arbitration Study
NASAA Statement on PIABA Arbitration StudyNASAA (October 8, 2014) -- The following is a statement from William Beatty, Washington Securities Director and president of the North American Securities…
Arbitrations may be unfair to investors, by Kevin McCoy
USA Today (October 7, 2014 3:41 pm) -- The Financial Industry Regulatory Authority arbitration pools that decide many investor disputes with brokers lack diversity, raising the prospect the system…
FINRA Arbitration Fails Diversity, Bias Tests, Group Says, by Ed Beeson
Law 360, New York (October 7, 2014 3:29 pm) -- The Financial Industry Regulatory Authority isn’t doing enough to recruit a diverse set of arbitrators or vet their biases, and as a result investors…
Finra Arbitration Panels Lack Diversity, Lawyers’ Group Says, The rate of investors winning compensation or other awards has fallen to about 42% in 2013, group says, by Matthias Rieker
Wall Street Journal (October 7, 2014 1:58 pm) - The roster of arbitrators chosen to resolve disputes between investors and brokers lacks diversity, according to an organization of lawyers who…
Investors Bar Blasts FINRA Arbitration as Biased, by Jenna Greene
LegalTimes (October 7, 2014 12:38 pm) -- Old men. That’s who decide most investor disputes in the United States, according to a study by the Public Investors Arbitration Bar Association, which found…
FINRA Arbitration Fails Diversity, Bias Tests, Group Says, by Ed Beeson
LexisNexis® Legal Newsroom Securities (October 7, 2014 11:29 am) -- The Financial Industry Regulatory Authority isn’t doing enough to recruit a diverse set of arbitrators or vet their biases, and as…
Plaintiff's attorneys say lack of diversity among panelists means disadvantage for investors by Mark Schoeff Jr.
InvestmentNews (October 7, 2014 10:34 am) -- The lack of diversity among Finra arbitrators hurts investors in disputes against brokerages and has led to a decrease in the number of cases they win, a…
PIABA claims arbitrator bias – Finra lashes back, by Mark Schoeff Jr.
Plaintiff's attorneys say lack of diversity among panelists means disadvantage for investorsInvestmentNews (October 7, 2014 10:34 am) -- The lack of diversity among Finra arbitrators hurts investors…
Lack of diversity among Wall St arbitrators threatens investors-group By Suzanne Barlyn
Reuters (October 7, 2014 9:30 am) -- Lawyers for investors charged on Tuesday that securities arbitrators are chosen from a limited pool of mostly elderly men, one of several flaws in Wall Street's…
FINRA Arb Panels Lack Diversity, Transparency: PIABA Study, by Melanie Waddell
ThinkAdvisor (October 7, 2014) -- The Financial Industry Regulatory Authority’s arbitration panels lack diversity and transparency about member biases, and the self-regulator’s recruiting practices…