PIABA Newsroom

COMMENT LETTER: SR-FINRA-2012-012 - Notice of Filing of Proposed Rule Change Relating to Raising the Limit for Simplified Arbitration (March 16, 2012)
AMICUS BRIEF: James Roland, et at vs. Jason Green, et al., Case No. 11-10932 and 11-11048 Brief of Public Investors Arbitration Bar Association as Amicus Curiae, U.S. 5th Cir. Ct. of App. (March 9, 2012)
COMMENT LETTER: SR-FINRA-2012-11 - Discretion to Determine Mediator (February 28, 2012)
AMICUS BRIEF: Morgan Keegan v. John J. Garrett; et al. Craig J. McCann and John J. Garrett; et al. v. Morgan Keegan, Case No. 11-20736, Civil Action No. 4:10-cv-04308 Amicus Curiae of the Public Investors Arbitration Bar Association (5th Cir.App. January 18, 2012)
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In the Media

What Your Stockbroker Is Doing With Your Stock Order and Why You Should Care, by Pam Martens
Wall Street On Parade (June 24, 2014) -- It’s gotten to the point that to maintain an account on Wall Street you have to surrender to a no-law zone. Wall Street is the only industry in America that…
Finra seeks to tighten investor dispute rules, by Mark Schoeff Jr.
New proposal would prevent people with industry experience from becoming “public arbitrator"InvestmentNews (June 18, 2014 8:19 pm) -- In redefining its categories for arbitrators, Finra is not only…
SEC extends review of plan to ban broker settlement deals, by Suzanne Barlyn
Reuters (June 13, 2014 12:10 pm) - The U.S. Securities and Exchange Commission has extended the deadline for its review of a proposal to ban a type of settlement in disputes between brokerages and…
Thwarting the next Bernie Madoff: Should the SEC permit mid-case disciplinary/regulatory referrals in FINRA Arbitrations? posted by John Colvin
Business Advocate (June 6, 2014) -- The Securities and Exchange Commission ("SEC") recently announced that it was initiating proceedings to determine whether to approve or disapprove of a proposed…
The Price Might Not Be Right! Are Your Financial Advisor's Commissions Legally Sky-High? by Robert Gershman
Forbes (June 25, 2014 10:04 am) -- Recently, I gave a presentation to a philanthropic group where I asked this question: “Do you know how much advisors and their firms make from the investments they…
SEC raises red flag over Finra enforcement referral rule, by Mark Schoeff Jr.
Commission is concerned that investors could be harmed in arbitration casesInvestmentNews (June 3, 2014 11:37 am) -- Citing concerns over investor protection, the Securities and Exchange Commission…
Exam scores and failures belong on BrokerCheck, by Ben Edwards
Brokers' exam scores, exam failures, terminations and other details that are currently omitted are already public informationInvestmentNews (June 1, 2014 11:01 pm) -- A fierce struggle continues to…
One Way Advisors Can Find Funds With The Potential To Outperform, by Mamta Badkar
Business Insider Indonesia (May 17, 2014 6:57 AM) -- Advisors looking at active share — percentage of investments that are separate from those in the fund’s passive benchmark — should keep a few key…
Brokers find it harder to wipe slate clean, by Mason Braswell
Public pressure on Finra's expungement process has arbitrators thinking twice about erasing disclosure events, attorneys on both sides agreeInvestmentNews (May 16, 2014 10:20 am) -- Heightened…
Trust But Verify: Regulators Demand Banks Verify Brokers' Background, by Roger Gershman
Forbes (May 13, 2014 9:43 am) -- Readers of my blog know I am a vocal critic of the investment industry because of its lack of transparency. I’ve not only taken investment banks to task for their…