PIABA Newsroom

COMMENT LETTER: FINRA Regulatory Notice 20-02; Comment on the Effectiveness and Efficiency of Its Reporting Requirements Rule (February 26, 2020)
COMMENT LETTER: Proposed Rule to Limit a Registered Person from Being Named a Customer’s Beneficiary or Holding a Position of Trust for or on Behalf of a Customer (January 10, 2020)
COMMENT LETTER: Massachusetts Fiduciary Duty Proposed Amendments to 950 CMR Sections 12.204, 12.205 & 12.207 (January 7, 2020)
AMICUS BRIEF: XY Planning Network LLC et al vs. SEC Brief of PIABA as Amicus Curiae in Support of Petitioners 2nd Cir Ct of App (January 3 2020)
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In the Media

LPL, Ameriprise Wrongly Docked My Pay: Lawsuit, By Mrinalini Krishma
Financial Advisor IQ (March 2, 2020) - LPL Financial and Ameriprise have been accused of unfairly deducting expenses from the commissions of a Beverly Hills-based advisor, who says his worker status…
RayJay, Edward Jones Reverse Churn Claims Stand Little Chance: Lawyers, By Mrinalini Krishna, Miriam Rozen
Financial Advisor IQ (February 13, 2020) - Investors have pressed courts recently to approve class actions against Raymond James and Edward Jones based on reverse churning allegations. But no court…
Finra Files Rule Linking Membership with Arb Awards Payments, By Alex Padalka
Financial Advisor IQ (February 11, 2020) - Finra says it has filed a proposed rule change with the SEC aimed at tackling the issue of unpaid arbitration awards. The proposal would amend rules on…
Finra seeks minimum expungement fees of several thousand dollars, By Mark Schoeff Jr.
InvestmentNews (February 11, 2020) - Proposal aims to raise bar for brokers to clear their records, but a lawyer for investors says it only will fill Finra's coffers Finra is proposing to assess…