PIABA Newsroom

COMMENT LETTER: Concept Release on Harmonization of Securities Offering Exemptions File No. S7-08-19 (September 24, 2019)
COMMENT LETTER: Proposed Amendments to Massachusetts 950 CMR Sections Requiring Broker-dealers, agents, investment advisers and investment adviser representatives be subject to a Fiduciary Duty (July 26, 2019)
New Jersey Consumer Affairs Public Hearing, Statement of Joseph Peiffer regarding Fiduciary Duty of Broker-Dealers, Agents, Investment Advisers, and Investment Advisers Representatives (July 17, 2019)
COMMENT LETTER: Regulatory Notice 19-17: Request for Comment on Proposed New Rule 4111 (Restricted Firm Obligations) Imposing Additional Obligations on Firms with a Significant History of Misconduct (July 1, 2019)
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In the Media

Finra proposal to restrict recidivist behavior a good start — but more needs to be done, By Christine Lazaro
InvestmentNews (May 14, 2019) -- Crackdown will help, but creating restricted accounts alone will not solve the problem of unpaid arbitration awards Recently, the Financial Industry Regulatory…
Advisor? Broker? SEC proposes vote on fiduciary standards to help clear up confusion, By Kenneth Corbin
FinancialPlanning (April 12, 2018) -- The SEC plans to move forward with a proposal to impose new standards of care for investment advisors and broker-dealers who work with retail investors,…
Maryland attorney general bars unregistered adviser, By Jeff Benjamin
InvestmentNews (April 11, 2018) -- The scheme involved soliciting the clients of another barred adviser An unregistered investment adviser has been barred by the Maryland attorney general's office…
Former Merrill Lynch execs' lawyer feels good about chances in $1 billion arbitration, By Mark Schoeff Jr.
InvestmentNews (April 5, 2018) -- Broker-dealer drops effort to stop 60 cases related to steep Merrill stock dive in 2007-08 A lawyer for dozens of former Merrill Lynch managers said they have a good…