PIABA Newsroom

COMMENT LETTER: Effective Methods to Educate Newer Investors, FINRA Special Notice - 6/30/21 (August 31, 2021)
AMICUS LETTER: Amicus Letter of the Public Investors Advocate Bar Association in Support of Petition for Review (August 9, 2021)
COMMENT LETTER: FINRA Proposed Rule Change to Amend Rule 2165 (Financial Exploitation of Specified Adults) - File No. SR-FINRA-2021-016 (July 19, 2021)
REPORT: 2021 Updated Study on FINRA Expungements (May 18, 2021)
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In the Media

New NASAA President to Prioritize Expungements, Digital Assets, By Patrick Donachie
Wealth Management (September 22, 2021) - In her first address as the 104th president of the North American Securities Administrators Association, Maryland Securities Commissioner Melanie Senter Lubin…
New NASAA Leader Calls for Expungement Reform, By Mark Schoeff Jr.
InvestmentNews (September 21, 2021) - The new leader of the umbrella organization for state securities regulators took office Tuesday promising to work on making it harder for brokers to clear their…
Ex-Merrill Superstar Phil Scott Swings and Misses with Expungement Requests, By Jake Martin
AdvisorHub (September 16, 2021) - Former Merrill Lynch superstar Phil Scott, who last year took his $18 million-producing team in the Seattle suburbs to First Republic, struck out in an attempt to…
Finra's Risky Broker-Dealer Rule Has Significant Gaps, PIABA President Says, By Tracey Longo
Financial Advisor (August 4, 2021) - The Financial Industry Regulatory Authority’s rule to require risky broker-dealers to set aside funds in reserve to pay arbitration awards and other regulatory…