PIABA Newsroom

COMMENT LETTER: File No. SR-FINRA-2020-011, FINRA proposed rule change to address brokers with a significant history of misconduct (May 5, 2020)
COMMENT LETTER: File No. SR-FINRA-2020-007 (FINRA proposed rule change to suitability and non-cash compensation rules to clarify and conform rules to Reg BI) (April 15, 2020)
COMMENT LETTER: No. S7-04-20 (April 15, 2020)
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)
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In the Media

FINRA's New Arb Award Rules Merely 'Nibbling' at Bigger Problem: PIABA, By Melanie Waddell
ThinkAdvisor (May 26, 2020) - The amended rules prevent brokers with unpaid arbitration awards from switching firms, but there's a bigger issue, lawyers say.  The Financial Industry Regulatory…
Surge In Client Finra Arbitration Filings May Be On Horizon, By Tracey Longo
Financial Advisor (May 18, 2020) - While Finra arbitration filings have already risen 14% this year, that is just the tip of the iceberg of customer cases the industry can expect as fallout from the…
Lawyers slow to embrace Zoom for Finra arbitration hearings, By Mark Schoeff Jr.
InvestmentNews (May 13, 2020) - In-person sessions, suspended during the pandemic, allow for better presentation of evidence and arguments, they say Arbitration lawyers appear reluctant to try their…
Finra Arb Disputes Between Clients, B-Ds Expected to Spike: Lawyers, By Miriam Rozen
Financial Advisor IQ (May 12, 2020) - Pre-pandemic 2020 was shaping up as an unremarkable year for Finra arbitration disputes between clients and broker-dealers, according to the most recent…