Investment News (November 2, 2022) - State regulators and PIABA have questioned whether a residential supervisory location would provide appropriate investor protection.
Finra is trying to update…
PIABA Newsroom
In the Media
Clients Remain Patient Despite Market Volatility, Brokers and Plaintiff Lawyers Say, By Miriam Rozen
AdvisorHub (October 20, 2022) - Many clients are showing patience, and the onslaught of lawsuits or complaints that often crop up in the aftermath of severe market shocks has not set in despite…
Citywire RIA (October 13, 2022) - ‘You have a best interest standard in the brokerage world. You have a fiduciary standard for RIAs. In precious metals, there is no standard.’
As stocks and bonds…
InvestmentNews (October 4, 2022) - Comments from the Chamber of Commerce focused on making enforcement fairer, while organizations disagreed about who should be eligible to participate in private…
Financial Planning (September 29, 2022) - FINRA is saying there should be no limit on fines for violations like excessive trading and recommending tailored penalties for individual advisors and small…
ThinkAdvisor (September 16, 2022) - The Financial Industry Regulatory Authority is seeking approval from the Securities and Exchange Commission to provide greater transparency and consistency…
WealthManagement (August 22, 2022) - Did a now-defunct IBD avoid FINRA financial judgements by transferring brokers and clients to another firm? Both PIABA and the FSI are weighing in on a case…
InvestmentNews (August 22, 2022) - Bills in both the House and Senate would establish an SEC grant program to support investor advocacy clinics at law schools.
Senior investors who have low-dollar…
FinancialPlanning (August 10, 2022) - The latest FINRA proposal on removing client complaints from brokers' records is setting up a rulemaking debate that's likely to be long and contentious.
FINRA …
ThinkAdvisor (August 9, 2022) - What You Need to Know
A Georgia appeals court has reversed a January ruling that found Wells Fargo manipulated the FINRA arbitrator pool.
In its August decision, the…