PIABA Newsroom

COMMENT LETTER: NASAA Proposed Whistleblower Model Act (June 29, 2020)
PRESS RELEASE While American Workers Face Ongoing Struggle to Save for Retirement, DOL Appears Poised to Strip Them of Important Protections (June 23, 2020)
COMMENT LETTER: Proposed Rule Change to Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure) to Allow the Dissemination of IAPD Information through BrokerCheck (May 26, 2020)
COMMENT LETTER: File No. SR-FINRA-2020-011, FINRA proposed rule change to address brokers with a significant history of misconduct (May 5, 2020)
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In the Media

A Modest Proposal On The Appropriate Allocation Of Fees In Expungement Cases, By Christopher Seps
JD Supra ( June 17, 2020) - A couple of years ago, I complained about PIABA’s effort to make expungement even more difficult to obtain. Well, fast forward to June 1, and, as Chris Seps explains here…
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…