PIABA Newsroom

COMMENT LETTER: FINRA Rule Amendments Relating to High-Risk Brokers and the Firms That Employ Them (June 28, 2018)
COMMENT LETTER: Proposed Amendments to the Quantitative Suitability Obligation Under FINRA Rule 2111 (June 18, 2018)
COMMENT LETTER: Proposed New Rule Governing Outside Business Activities and Private Securities Transactions (April 27, 2018)
COMMENT LETTER: Proposed Amendments to its Membership Application Program to Incentivize Payment of Arbitration Awards (April 9, 2018)
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In the Media

Securities Class Action Lawsuits: What Investors Should Know, By FINRA Staff
The Motley Fool (January 9, 2018) - Know your rights, or you could miss out on money you're entitled to. It is not uncommon for FINRA to receive calls from investors about a securities class action…
Banned brokers represent investors in FINRA arbitration despite rule to contrary, By Ann Marsh
FinancialPlanning (January 4, 2018) - Few advisors may be aware that brokers who have been banned — and even those with criminal pasts — may represent aggrieved investors in FINRA’s arbitration forum…
Finra Considering Barring Non-Attorney Reps In Its Hearings, By Tracey Longo
Financial Advisor (December 19, 2017) - Would you hire a non-attorney to represent you in Finra arbitration if you knew he had a 1 percent win rate? How about if he routinely cost investors tens of…
PIABA Report: Non-Attorney Reps a Threat to Investors in Arbitration, By Diana Britton
WealthMangement.com (December 18, 2017) - As FINRA considers whether non-attorneys should continue to represent investors in arbitration, a new PIABA report spotlights a disturbing pattern of…