PIABA Newsroom

COMMENT LETTER: SR-FINRA-2009-013 - FINRA Proposed Rule Change Relating to Tolling Provisions, FINRA Rules 12206 and 1326 (April 28, 2009)
COMMENT LETTER: SR-FINRA-2009-008 - FINRA Proposed Rule Change Relating to Proposed Chages to Forms U4 and U5 (April 13, 2009)
COMMENT LETTER: SR-FINRA-2009-024 - FINRA Proposed Rule Change and Amendment No. 1 Thereto Relating to Amendments to the Discovery Guide to Update the Document Production Lists (March 27, 2009)
POSITION PAPER: The Integrity of the Central Registration Depository (CRD) System is a Cornerstone of Effective Investor Protection in the United States (2008)
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In the Media

Too easy for brokers to clean records, lawyers say, by Mark Schoeff
looktowink.com (October 16, 2013) -- Brokers who are the subject of investor arbitration cases can clear their record of any wrongdoing too easily, according to a lawyers’ group that represents…
Group Says Finra Rubber-Stamping Requests To Clean Up Broker Records, Dan Jamieson
Financial Advisor (October 16, 2013) --  It’s far too easy for brokers to clean up their disciplinary records, says a new study of arbitrator-ordered expungements.            Finra arbitrators are…
Alleged wrongdoing by stockbrokers often erased from public records, study finds, by Walter Hamilton
Los Angeles Times (October 16, 2013) -- Alleged wrongdoing by stockbrokers is routinely erased from public records, making it difficult for investors to check the past conduct of financial advisers…
Stockbroker Arbitration Slates Wiped Clean 9 out of 10 Times
Troubling Findings Raise Question:  Are Investors Being Kept in the Dark About Arbitration Cases?finanzen.ch (October 16, 2013) – Investors who rely on public records to check out the background of…
Wall Street watchdog signals new hurdles for clearing brokers' records, by Suzanne Barlyn
corney conchie (October 15, 2013) -- Wall Street's industry-funded watchdog issued new guidance late Monday that gives arbitrators more information about their responsibilities in a process that…
Wall Street watchdog signals new hurdles for clearing brokers' records, by Suzanne Barlyn
Reuters (October 14, 2013 6:36 pm) - Wall Street's industry-funded watchdog issued new guidance late Monday that gives arbitrators more information about their responsibilities in a process that…
Wall Street watchdog signals new hurdles for clearing brokers' records, by Suzanne Barlyn
RocketNews (Reuters) (October 14, 2013 6:36 pm) - Wall Street's industry-funded watchdog issued new guidance late Monday that gives arbitrators more information about their responsibilities in a…
6 Pointed Questions To Ask Before Hiring A Financial Advisor, by Kenneth G. Winans
Forbes (September 20, 2014 9:01 am) -- This is a guest post by Kenneth G. Winans,  a veteran investment manager based in Novato, Calif.  Despite what you might read elsewhere about managing your own…
Schwab Case Casts Spotlight on Securities Arbitration and Its Flaws, By Susan Antilla
The New York Times (September 4, 2013 4:56 pm) - Class-action lawsuits are the bane of most financial firms, and many recoil at the prospect of paying out millions to groups of clients if investments…
Proposed Finra Rule May Offend Your Mother, by Jeremy L. Bartell
FinanciallyRegulated (August 19, 2013) -- Finra proposed a rule that reportedly offends mothers. It also “airs dirty laundry,” creates “virtual slaves” and assumes all advisors are “crooks.” This is…