PIABA Newsroom

OPED: Costly forced arbitration against RIAs harms investors, By Christine Lazaro and Michael S. Edmiston (January 14, 2022)
COMMENT LETTER: OFR Bill Reforming Chapter 517 - Recommendation to Support Florida's Office of Financial Regulation Ch. 517 Reform Legislation (January 3, 2022)
Statement by Christine Lazaro for the SEC Investor Advisory Committee Meeting (December 2, 2021)
PRESS RELEASE: Statement of PIABA President on NASAA’s Phase II Report on Regulation Best Interest (November 4, 2021)
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In the Media

In Wells Fargo Case, FINRA Didn't Manipulate Arb Process: Independent Review, By Melanie Waddell
ThinkAdvisor (June 29, 2022) - What You Need to Know A review found no evidence of an improper agreement to remove certain arbitrators from arbitration cases. Lowenstein said it does not believe…
Report Finds No Evidence of Side Deal Between Finra and Wirehouse Lawyer, By Miriam Rozen
AdvisorHub (June 29, 2022) - The outside law firm that the Financial Industry Regulatory Authority’s audit committee hired to review its arbitration process has rejected allegations about an improper…
FINRA orders National to pay $9M in latest alternative product case, By Tobias Salinger
Financial Planning (June 28, 2022) - A midsize wealth manager that’s under new ownership after a compliance overhaul agreed to its second major FINRA settlement this year relating to sales of…
Court Appears Set to Overturn Controversial Ruling That Wells Gamed Finra Arbitration, By Miriam Rozen
AdvisorHub (June 10, 2022) - A three-judge panel of the Court of Appeals of the State of Georgia showed skepticism about a trial court’s controversial ruling in January that vacated a 2019…