PIABA Newsroom

OPED: Costly forced arbitration against RIAs harms investors, By Christine Lazaro and Michael S. Edmiston (January 14, 2022)
COMMENT LETTER: OFR Bill Reforming Chapter 517 - Recommendation to Support Florida's Office of Financial Regulation Ch. 517 Reform Legislation (January 3, 2022)
Statement by Christine Lazaro for the SEC Investor Advisory Committee Meeting (December 2, 2021)
PRESS RELEASE: Statement of PIABA President on NASAA’s Phase II Report on Regulation Best Interest (November 4, 2021)
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In the Media

Crypto and promissory notes are top fraud threats in 2022, By Tobias Salinger
Financial Planning (January 10, 2022) - With faster and more user-friendly investment technology comes greater risks to clients vulnerable to fraud, according to state regulators. Cryptocurrency and…
J.P. Morgan Ordered to Pay $4 Million to Client of Former Star Producer, By Jake Martin
AdvisorHub (December 10) - J.P. Morgan Advisors was ordered to pay $4 million in damages to a former client of a top-producer in San Francisco who has been beset by customer claims over last year’s…
Senior Financial Abuse Fight Needs More Cooperation By Government Agencies, SEC Told, By Ted Knutson
Forbes (December 2, 2021) - The Securities and Exchange Commission was told by experts Thursday greater cooperation between government agencies at the federal, state, and local levels and the private…
Client attorneys say RIAs force disputes into costly arbitration, By Tobias Salinger
Financial Planning (November 23, 2021) - RIA clients seeking compensation for losses as a result of advisors’ harmful conduct may have an even smaller chance of success than customers of dually…