ThinkAdvisor (November 27, 2017) - FINRA says it will help SEC with database, while head of PIABA says database only a Band-Aid for a ‘really serious problem’
SEC Chairman Jay Clayton is moving full…
PIABA Newsroom
In the Media
Pittsburgh Post-Gazette (November 20, 2017) - For a regulatory agency dedicated to protecting investors, the Financial Industry Regulatory Authority has some explaining to do.
Thus sayeth a group of…
Financial Advisor IQ (November 17, 2017) - The Public Investors Arbitration Bar Association claims that almost half of the public governors on Finra’s board tasked with protecting investors’…
Investment Executive (November 16, 2017) - A new report from the Public Investors Arbitration Bar Association says that six of FINRA’s 13 current and immediate past public governors “appear to have…
WealthManagement.com (November 15, 2017) - The report claims public governors on the regulator’s board are too distant from investor interests.
A not-for-profit industry group recently scrutinized…
Financial Advisor (November 15, 2017) - The Public Investors Arbitration Bar Association says Finra’s public board members may not truly represent the investing public.
In a report released Wednesday…
InvestmentNews (November 15, 2017) - Public Investors Arbitration Bar Association report slams self-regulator over its picks for board of governors
The Public Investors Arbitration Bar Association, a…
ThinkAdvisor (November 15, 2017) - FINRA’s Board 'has public board members who have very deep ties to the securities industry,' said PIABA's Stoltmann
The Financial Industry Regulatory Authority’s…
FinancialPlanning (November 15, 2017) - A new report by a group of securities arbitration attorneys calls into question FINRA's ability to protect investors given alleged conflicts of interests on…
Bank Investment Consultant (November 8, 2017) - The SEC is moving to correct gaps in the oversight of advisors that allow bad actors to slip through the cracks.
In remarks today at the Practicing Law…