PIABA Newsroom

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)
COMMENT LETTER: Massachusetts Fiduciary Duty Proposed Amendments to 950 CMR Sections 12.204, 12.205 & 12.207 (January 7, 2020)
AMICUS BRIEF: XY Planning Network LLC et al vs. SEC Brief of PIABA as Amicus Curiae in Support of Petitioners 2nd Cir Ct of App (January 3 2020)
COMMENT LETTER: Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 12000 Series to Expand Options Available to Customers if a Firm or Associated Person is or Becomes Inactive (December 13, 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…