PIABA Newsroom

COMMENT LETTER: FINRA Proposed Rule Change to Apply Minimum Fees to Requests for Expungement of Customer Dispute Information – File No. SR-FINRA-2020-005 (March 18, 2020)
COMMENT LETTER: Proposed Amendments to the Definition of "Accredited Investor" File No. S7-25-19 (March 16, 2020)
COMMENT LETTER: Comment on the Effectiveness and Efficiency of Its Reporting Requirements Rule (February 26, 2020)
COMMENT LETTER: Proposed Rule to Limit a Registered Person from Being Named a Customer’s Beneficiary or Holding a Position of Trust for or on Behalf of a Customer (January 10, 2020)
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In the Media

Finra postpones in-person arbitration hearings until May 1 due to COVID-19, By Mark Schoeff Jr.
InvestmentNews (March 16, 2020) - The broker-dealer regulator said it is taking action ‘in the interest of public safety’ Finra has postponed all in-person arbitration and mediation proceedings…
LPL, Ameriprise Wrongly Docked My Pay: Lawsuit, By Mrinalini Krishma
Financial Advisor IQ (March 2, 2020) - LPL Financial and Ameriprise have been accused of unfairly deducting expenses from the commissions of a Beverly Hills-based advisor, who says his worker status…
RayJay, Edward Jones Reverse Churn Claims Stand Little Chance: Lawyers, By Mrinalini Krishna, Miriam Rozen
Financial Advisor IQ (February 13, 2020) - Investors have pressed courts recently to approve class actions against Raymond James and Edward Jones based on reverse churning allegations. But no court…
Finra Files Rule Linking Membership with Arb Awards Payments, By Alex Padalka
Financial Advisor IQ (February 11, 2020) - Finra says it has filed a proposed rule change with the SEC aimed at tackling the issue of unpaid arbitration awards. The proposal would amend rules on…