PIABA Newsroom

New Jersey Consumer Affairs Public Hearing, Statement of Joseph Peiffer regarding Fiduciary Duty of Broker-Dealers, Agents, Investment Advisers, and Investment Advisers Representatives (July 17, 2019)
COMMENT LETTER: Regulatory Notice 19-17: Request for Comment on Proposed New Rule 4111 (Restricted Firm Obligations) Imposing Additional Obligations on Firms with a Significant History of Misconduct (July 1, 2019)
COMMENT LETTER: Rule Proposal PRN 2019-044, Fiduciary Duty of Broker-Dealers, Agents, Investment Advisers, and Investment Adviser Representatives; Proposed New Rule N.J.A.C. 13:47A-6.4 and Proposed Amendment to N.J.A.C. 13:47A-6.3 (June 14, 2019)
PRESS RELEASE: PIABA: Divided SEC Vote Lowering Investor Advice Protections for Investors "Very Disappointing" (June 5, 2019)
Subscribe to PIABA Newsroom

In the Media

Finra Needs to Make the Move on Unpaid Arb Awards, By Alex Padalka
Financial Advisor IQ (March 20, 2018) -- Finra has what it takes to address the hundreds of millions of dollars that go unpaid from its arbitration awards, and the time to act is now, InvestmentNews…
Fix the flaw in financial self-regulation, By Benjamin Edwards and Hugh Berkson
The Hill (March 19, 2018) -- Much of Wall Street regulates itself through self-regulatory organizations overseen by the continually underfunded Securities and Exchange Commission (SEC).   The…
There's a major flaw in Finra's arbitration system
InvestmentNews (March 17, 2018) -- A much more feasible remedy has recently been put forth by PIABA It is clear to anyone paying attention that there is something wrong with the Financial Industry…
Arbitration Attorneys Voice Concerns About Federal Court Rulings On Fiduciary Rule
PR Newswire (March 16, 2018) -- Public Investors Arbitration Bar Association Cautions that Retirement Investors Will "Lose Billions" Without Preservation of More Stringent Standards for Financial…