PIABA Newsroom

COMMENT LETTER: Regulatory Notice 12-18 - Comment on Proposed New In re Expungement Procedures for Persons Not Named in a Customer-Initiated Arbitration (May 18, 2012)
COMMENT LETTER: California AB 2081: Proposed New Corporations Code Section 25102(r) Exemption, Advertising (April 11, 2012)
COMMENT LETTER: Regulatory Notice 12-14 - Comment on Proposed Amendments to NASD Rule 2340 to Address Values of Unlisted Direct Participation Programs and Real Estate Investment Trusts (April 11, 2012)
AMICUS BRIEF: Peter Cary, et al v. Raymond James Financial Services, No. 12-1053-cv, in Support of Defendants, Position Seeking Reversal of Court's Decision, Appeal from the US District Court for the Eastern District of Virginia (U.S.App.Ct. Fourth Circuit April 2, 2012)
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In the Media

Rule Proposal For New Hire Background Checks Moving To SEC, by Mark Schoeff Jr.
RIACentral.com (September 25, 2014) -- Finra is pushing ahead with a rule-change that would require brokerage firms to vet new hires more thoroughly. The regulatory agency sent a rule to the SEC that…
A Murky Process Yields Cleaner Professional Records for Stockbrokers, by Susan Antilla
The New York Times (September 24, 2014 7:40 pm) -- As a former stockbroker whose regulatory file included 41 customer complaints and a job termination, Kathleen J. Tarr was concerned that her…
PIABA: SEC Should Reject "Radical" Finra Plan To Shift Attorneys For Investors Into Industry Arbitrator Pool
Further Drop in Already Weak Investor Confidence in FINRA Arbitration Feared If Step Moves Ahead; "Non-Public Arbitrator" Category Should Encompass All With Direct and Indirect Ties to Securities…
Got a Beef With Your Broker? Wall Street, Attorneys Fight Over How to Fix Complaint Process, by Suzanne Barlyn
Wall Street and attorneys representing investors can't agree how to improve the arbitration system used to settle disputes between brokerages and their customers.Money (August 1, 2014) -- A proposal…
Wall Street arbitration reform proposal faces rocky path, by Suzanne Barlyn
Reuters (July 31, 2014) -- A proposal to strengthen the arbitration process that aggrieved investors use against securities brokers is running into obstacles just as the U.S. Securities and…
Wall Street arbitration reform proposal faces rocky path, by Suzanne Barlyn
ownzones.com (Reuters) (July 31, 2014) -- A proposal to strengthen the arbitration process that aggrieved investors use against securities brokers is running into obstacles just as the U.S.…
PIABA to SEC: Bar Brokers From Buying a Clean Record - Group urges adoption of FINRA’s proposition
To Better Protect Investors, SEC Needs to Approve FINRA-Proposed Rule That Would Prohibit Arbitration Settlements From Being Conditioned on Investor Agreement to Clear “Black Marks” From a Broker’s…
SEC Tries to Curb Broker Record-Scrubbing, by Joan Warner
financialadvisoriq.com (July 24, 2014) -- A newly approved rule aimed at making it harder for brokers to scrub their records of client complaints doesn’t go far enough, critics say. In fact,…
SEC seconds FINRA on expungement requirements, by Marlene Y. Satter
BenefitsPro (July 24, 2014) -- Unhappy investors now have a little more leeway when seeking arbitration over a dispute with their broker, now that the Securities and Exchange Commission has approved…
SEC approves Finra rule limiting expungement, by Mason Braswell
Regulator signs off on a rule that stops brokers from including expungement as a term in settlements in customer arbitrationsInvestmentNews (July 23, 2014 1:25 pm) -- The SEC has signed off on a rule…