PIABA Newsroom

AMICUS BRIEF: Melanie Senter Lubin, Maryland Securities Commissioner v. Joseph R. Karsner, IV, et al. No. 07-7080, in Support of Appellant, On Appeal from the District Court for the District of Columbia (Richard J. Leon, Judge) (November 21, 2007)
PRESS RELEASE: PIABA Supports Arbitration Fairness Act of 2007, Laurence S. Schultz, 2008 PIABA President (October 31, 2007)
PRESS RELEASE: PIABA Releases Study and Calls on SEC & FINRA to Halt Arbitrator-Recommended Expungements of Customer Dispute Information from the Central Registration Depository Records System, Steven B. Caruso, 2007 PIABA President (September 24, 2007)
COMMENT LETTER: SR-NASD-2007-021 - Notice of Filing of Proposed Rule Change to Amend the Definition of Public Arbitrator (July 23, 2007)
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In the Media

SEC Withholds Records on Oversight of Self-Regulatory Group, by Michael Smallberg
POGO (June 16, 2011) -- Suzanne Barlyn's latest column in Dow Jones Compliance Watch raises new concerns about the Securities and Exchange Commission's (SEC) Freedom of Information Act (FOIA)…
(Non)Binding Arbitration, by Suzanne Barlyn
Disputes between investors and brokerages are handled by arbitrators. But their rulings aren't always the end of the lineWall Street Journal (Updated April 4, 2011 11:01 pm) -- Binding arbitration is…
Financial Fraud Case Pits Arbitration vs. Class Actions, by Susanne Craig
Herald Tribune (March 4, 2011 12:00 am) -- Ewald Groetsch was lonely after his wife died in 2003. Mr. Groetsch, a retired grocery wholesaler who had dementia, struck up a relationship with a broker…
How Safe Are Your Savings? by John Wasik
Your broker may peddle them as "low-risk" investments. But many structured products are so risky they could destroy your life savings. Welcome to the no-regulation zone.AARP Magazine (March/April…
Will SEC decision open brokers up to litigation? by Mark Schoeff Jr. and Dan Jamieson
InvestmentNews (February 6, 2011 11:01 pm) -- A new regulation that would allow investors to choose an all-public arbitration panel in disputes with brokers is being hailed as a step toward making…
How Safe Are Your Savings? by John Wasik
Your broker may peddle them as "low-risk" investments. But many structured products are so risky they could destroy your life savings. Welcome to the no-regulation zone. The Investigative Fund (AARP…
SEC OKs all-public arbitration panels, by Dan Jamieson
Claimants given more power in Finra arb process; ‘tremendous step'InvestmentNews (February 1, 2011 2:44 pm) -- The Securities and Exchange Commission yesterday approved a Financial Industry…
Finra proposal on public arbitration wins praise, by Mark Schoeff
But its decision to open up the process doesn't go far enough, some critics sayInvestmentNews (October 3, 2010 11:01 pm) -- Finra's efforts last week to open up its arbitration process have pleased…
UPDATE 4-FINRA arbitration change seen aiding investors, by Joseph A. Giannone
finanznachrichten.de (Reuters) (Sept 28, 2010) - Wall Street regulator FINRA has proposed changes to its dispute arbitration system that investor lawyers say will help customers win more cases…
Finra Extends Pilot Arbitration Program By One Year, by Suzanne Barlyn
ShareCast News (NEW YORK Dow Jones) (July 21, 2010 2:52 pm) --The Financial Industry Regulatory Authority is extending a pilot program that gives investors the option of an arbitration panel without…