PIABA Newsroom

PRESS RELEASE: PIABA: Small Investors in Need of Attorneys Should Do Their Homework (March 6, 2019)
COMMENT LETTER: Comment on Draft Regulations to be added to Chapter 90 of the Nevada Administrative Code– Fiduciary Duty Regulations (March 1, 2019)
COMMENT LETTER: Pre-Proposed Amendment N.J.A.C. 13:47A-6.3, Fiduciary Duty (December 14, 2018)
Statement of Christine Lazaro for IAC meeting (December 13, 2018)
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In the Media

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…
Merrill Lynch snags a former top FINRA exec: Susan Axelrod, By Kenneth Corbin
FinancialPlanning | OWS (March 29, 2018) -- After nearly 30 years regulating Wall Street firms, Susan Axelrod is about to join one of the biggest brokerages she helped oversee: Merrill Lynch. Axelrod…