1. Preamble - Product Cases - These requirements should be on List 1.
This should also include a search of the selling broker's email for the
product at issue during the relevant period.
2. Preamble and List 1 Item 20 - No Obligation to Create documents:
Firms should be required to run reports on commissions, if possible, even if
it requires the creation of a document.
3. List 1 Item 11 - All relevant written supervisory procedures,
manuals and bulletins should be provided rather than various sections.
4. New Items: Insurance declaration pages should be provided.
Jennifer Shaw
Executive Director
PIABA
1300 McGee Drive, Ste. 112
Norman, OK 73072
(405) 300-8909
From: McCardle, Lance C. via Arbitration <arbitration(a)mail.piaba.org>
Date: Tuesday, March 19, 2024 at 1:08 PM
To: Ashley Ringo <ashley(a)piaba.org>
Cc: arbitration(a)mail.piaba.org <arbitration(a)mail.piaba.org>
Subject: [Arbitration] Re: Tuesday - PIABA Arbitration Committee Meeting
Good afternoon everyone. For today’s meeting, please try to come up with a list of changes that you may like to see to FINRA’s discovery guide. We would like to put together a concrete list to share with the PIABA members on the NAMC.
Thanks. -Lance
On Mar 14, 2024, at 10:35 AM, Ashley Ringo via Arbitration <arbitration(a)mail.piaba.org> wrote:
You don't often get email from arbitration(a)mail.piaba.org. Learn why this is important<https://aka.ms/LearnAboutSenderIdentification>
NOTICE
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Ashley
Ashley Ringo
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I won’t be able to make the meeting today, but one addition to the DG that would be helpful would be a requirement to do a search of the broker’s and their supervisor’s emails for any emails related to the Claimants or their accounts. Also due diligence files for any recommended alternative investments.
Scott
W. Scott Greco
GRECO & GRECO, P.C.
1300 Old Chain Bridge Rd.
McLean, Virginia 22101
703.821.2777
<mailto:wsgreco@grecogrecolaw.com> wsgreco(a)grecogrecolaw.com
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From: McCardle, Lance C. via Arbitration <arbitration(a)mail.piaba.org>
Sent: Tuesday, March 19, 2024 2:09 PM
To: Ashley Ringo <ashley(a)piaba.org>
Cc: arbitration(a)mail.piaba.org
Subject: [Arbitration] Re: Tuesday - PIABA Arbitration Committee Meeting
Good afternoon everyone. For today’s meeting, please try to come up with a list of changes that you may like to see to FINRA’s discovery guide. We would like to put together a concrete list to share with the PIABA members on the NAMC.
Thanks. -Lance
On Mar 14, 2024, at 10:35 AM, Ashley Ringo via Arbitration <arbitration(a)mail.piaba.org <mailto:arbitration@mail.piaba.org> > wrote:
You don't often get email from arbitration(a)mail.piaba.org <mailto:arbitration@mail.piaba.org> . Learn why this is important <https://aka.ms/LearnAboutSenderIdentification>
NOTICE
Date: Tuesday, March 19th, 2024
Time: 4:00pm ET; 3:00pm CT; 2:00pm MT; 1:00pm PT
Meeting ID: 885 6698 2861
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Find your local number: https://zoom.us/u/aiAdIR0S4
Sincerely,
Ashley
Ashley Ringo
PIABA, IT Assistant
1300 McGee Dr., Ste. 112
Norman, OK 73072
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Public Investors Advocate Bar Association (PIABA) provides this and other list-serves for the convenience of its members. PIABA has no obligation to continue to provide this service to any member or to the membership generally. PIABA reserves the right to discontinue this service completely and/or to exclude any person from any list-serve at any time without notice for violating restrictions on use or for any other reason. PIABA does not censor, edit, or exercise any other control over the content of emails sent to the list-serve; nor is there any way of preventing an email sent to the list-serve from being forwarded to persons outside of the list-serve.
PIABA can give no assurance that emails sent to the list-serve will be received or read by others on the list-serve. This list-serve is governed by the PIABA List-Serve Guidelines, By-laws and Policies.
If you become aware of a violation of the PIABA List-Serve Guidelines, please report those violations immediately to us by telephone at 405.360.8776 or by email to Tiffany Zachary at tzachary(a)piaba.org <mailto:tzachary@piaba.org> . To unsubscribe from this list-serve, contact Tiffany Zachary at tzachary(a)piaba.org <mailto:tzachary@piaba.org> .
Good afternoon everyone. For today’s meeting, please try to come up with a list of changes that you may like to see to FINRA’s discovery guide. We would like to put together a concrete list to share with the PIABA members on the NAMC.
Thanks. -Lance
On Mar 14, 2024, at 10:35 AM, Ashley Ringo via Arbitration <arbitration(a)mail.piaba.org> wrote:
You don't often get email from arbitration(a)mail.piaba.org. Learn why this is important<https://aka.ms/LearnAboutSenderIdentification>
NOTICE
Date: Tuesday, March 19th, 2024
Time: 4:00pm ET; 3:00pm CT; 2:00pm MT; 1:00pm PT
Meeting ID: 885 6698 2861
Passcode: 594401
Link: https://us06web.zoom.us/j/88566982861?pwd=LzVHZzQ4MWZrK2lvR0Rlc0dkYWVXUT09
Dial by your location
+1 669 900 6833 US (San Jose)
+1 253 215 8782 US (Tacoma)
+1 346 248 7799 US (Houston)
+1 929 205 6099 US (New York)
+1 301 715 8592 US (Washington DC)
+1 312 626 6799 US (Chicago)
Find your local number: https://zoom.us/u/aiAdIR0S4
Sincerely,
Ashley
Ashley Ringo
PIABA, IT Assistant
1300 McGee Dr., Ste. 112
Norman, OK 73072
Direct: 405-832-0128
Toll Free: 888-621-7484 x104
Email: ashley(a)piaba.org<mailto:ashley@piaba.org>
________________________________________________
The information posted on this list server is confidential, is protected under the Electronic Communications Privacy Act, 18 USC sections 2510-2521, and may also be protected by attorney-client and/or attorney/work product privileges. It is intended only for the use of the individuals licensed to have access to this list-serve and the privileges are not waived by virtue of this having been sent by email. If the person actually receiving this information or any other reader of the list server is not a permitted member, any use, dissemination, distribution, or copying of the communication is strictly prohibited. If you have received this information in error, please return the original message to us at Tiffany Zachary at tzachary(a)piaba.org.
Public Investors Advocate Bar Association (PIABA) provides this and other list-serves for the convenience of its members. PIABA has no obligation to continue to provide this service to any member or to the membership generally. PIABA reserves the right to discontinue this service completely and/or to exclude any person from any list-serve at any time without notice for violating restrictions on use or for any other reason. PIABA does not censor, edit, or exercise any other control over the content of emails sent to the list-serve; nor is there any way of preventing an email sent to the list-serve from being forwarded to persons outside of the list-serve.
PIABA can give no assurance that emails sent to the list-serve will be received or read by others on the list-serve. This list-serve is governed by the PIABA List-Serve Guidelines, By-laws and Policies.
If you become aware of a violation of the PIABA List-Serve Guidelines, please report those violations immediately to us by telephone at 405.360.8776 or by email to Tiffany Zachary at tzachary(a)piaba.org. To unsubscribe from this list-serve, contact Tiffany Zachary at tzachary(a)piaba.org.
