PIABA Newsroom

PRESS RELEASE: PIABA: “Breakneck” Rush to Undermine Fiduciary Rule in Waning Days of Current Administration Should be Slowed Down Under New White House (December 16, 2020)
COMMENT LETTER: Regulatory Notice 20-34; Senior Investors Proposed Amendments to FINRA Rule 2165 and Retrospective Rule Review Report (December 4, 2020)
COMMENT LETTER: SR-FINRA-2020-038 - Proposed Rule Change to Amend FINRA Rules 5122 (Private Placements of Securities Issued by Members) and 5123 (Private Placements of Securities)(November 27, 2020)
COMMENT LETTER: SEC File Number S7-13-20 - Proposed Exemptive Order Granting Conditional Exemption from the Broker Registration Requirements of Section 15(a) of the Securities Exchange Act of 1934 for Certain Activities of Finders (November 12, 2020)
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In the Media

FINRA arbitration expungement reform won’t fix problems, PIABA says, By Tobias Salinger
FinancialPlanning (May 24, 2021) - With the SEC expected to approve the latest FINRA arbitration expungement reform this week, client attorneys released data that they argue shows the changes aren’t…
David P. Meyer Co-Authors Report on Flawed FINRA Expungement Process, Urging Regulators to Take Action, By Meyer Wilson
PRNewswire (May 21, 2021) - David P. Meyer, President of the Public Investors Advocate Bar Association (PIABA), has co-authored a new report on the FINRA expungement process. PIABA is an…
Investor Complaints Are Being Erased From Advisor Records. Why That’s a Problem, By Andrew Welsch
Barron's (May 20, 2021) - Brokers are erasing client complaints from their regulatory records at a brisk pace, potentially creating blindspots for state securities regulators and consumers, according…
It’s too easy for problem brokers to win expungement, Piaba says, By Andrew Foerch
CityWire (May 19, 2021) - The advocacy association is urging Finra to install an ‘independent investor advocate’ to bring balance to the process of arbitrating investor complaints. The Public…