A Few Minutes with New PIABA President Hugh Berkson
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By George H. Friedman, SAA Publisher & Editor-in-Chief

We reported in SAA 2022-42 (Nov. 10) that the Public Investors Advocate Bar Association (“PIABA”) announced in an October 27 Press Release that Hugh D.

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Arbitration of Investor Claims in an Industry-Sponsored Forum – A Look Back at 20 Years of Lessons
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By Courtney Werning, Dave Neuman, Jorge Riera, and Michael Edmiston[1]

Introduction

Industry-sponsored arbitration has long been the only option for investors who have claims against their financial advisors and brokerage firms.

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Consumer Coalition to SEC: Look Into RIA Use of PDAAs Calling for Non-FINRA Arbitration
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A broad coalition of a dozen consumer advocacy groups – including PIABA – has written to the SEC. urging that the Commission investigate the use by RIAs of mandatory predispute arbitration agreements (“PDAA”) providing for the use of non-SRO arbitration fora,

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That Didn’t Take Long: Lawmakers Demand Answers from FINRA on “Rigged Panels” Accusation and FINRA to Conduct Independent Review
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By George H. Friedman, SAA Publisher & Editor-in-Chief

On the heels of the decision by Fulton County Superior Court Judge Belinda E.

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Georgia Court Vacates FINRA Award on Several Bases, Including FINRA DRS Misconduct. PIABA Calls for the Feds to Investigate
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By George H. Friedman, SAA Publisher & Editor-in-Chief

Just as we were finalizing this Alert, we learned that a Georgia Trial Court has just vacated a FINRA Award based on multiple Federal Arbitration Act (“FAA”) violations,

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A Few Minutes with New PIABA President Mike Edmiston
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By George H. Friedman, SAA Publisher & Editor-in-Chief

We reported in SAA 2021-41 (Nov. 4) that the Public Investors Advocate Bar Association (“PIABA”) announced in an October 28 Press Release that Michael Edmiston of Jonathan W.

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