PIABA Newsroom
In the Media
Barron's (February 21, 2023) - Attorneys who represent investors are asking Wall Street regulator Finra to amend its proposal for reforming how it selects arbitrators. Their stated goal: greater…
AdvisorHub (February 17, 2023) - The Public Investors Advocate Bar Association is pushing for more transparency around how arbitrators are selected in the Financial Industry Regulatory Authority…
InvestmentNews (January 30, 2023) - Hugh Berkson, president of the Public Investors Advocate Bar Association, talks about PIABA's focus on reducing the number of Finra arbitration awards that aren't…
AdvisorHub (January 11, 2023) - The Financial Industry Regulatory Authority’s proposal to tweak its arbitrator-selection procedures, making them more transparent, represents welcome progress,…
Financial Advisor (January 5, 2023) -
To further weed out potential conflicts of interest and provide greater transparency into why certain arbitrators are removed from arbitrators selection lists…
AdvisorHub (December 19, 2022) - The Financial Industry Regulatory Authority, in an attempt to address criticisms from state regulators and investor advocates, among others, has amended its proposal…
Financial Planning (December 6, 2022) - Four of Advisor Group's brokerages settled FINRA charges that the firms negligently sold clients $16 million worth of alternative investments without informing…
ThinkAdvisor (December 2, 2022) - The Public Investors Advocate Bar Association says the Financial Industry Regulatory Authority’s plan to allow a home office to be considered a non-branch “…
Financial Advisor IQ (November 30, 2022) - The Public Investors Advocate Bar Association contends that a proposal to classify home offices as non-branch locations “leaves considerable opportunity for…
Wealth Management (November 30, 2022) - The regulatory agency released an update Wednesday on its targeted sweep of firms’ supervision of options recommendations, launched in August 2021, offering…