PIABA Newsroom

COMMENT LETTER: Request for Comment on Release 34-92766 (Broker-Dealer and Investment Adviser Digital Engagement Practices, Related Tools and Methods, and Regulatory Considerations and Potential Approaches) (October 1, 2021)
COMMENT LETTER: OFR Bill Reforming Chapter 517 - Recommendation to Support Florida's Office of Financial Regulation Ch. 517 Reform Legislation (September 27, 2021)
PRESS RELEASE: PIABA: 30% of 2020 FINRA Arbitration Awards Went Unpaid (September 29, 2021)
PIABA REPORT: FINRA Arbitration's Persistent Unpaid Award Problem (September 29, 2021)
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In the Media

Finra Considers Having A Regulator Take Over Broker Expungements, By Tracey Longo
Financial Advisor (May 18, 2022) -  The Financial Industry Regulatory Authority is considering overhauling its scandal-plagued process for reps trying to erase customer complaints from their records…
SEC’s Gensler sees ‘opportunity’ for tougher complex product rules, By Tobias Salinger
FinancialPlanning (May 16, 2022) - Add SEC Chair Gary Gensler to the growing chorus of regulators and critics calling for tougher rules over complex products, despite accompanying cries of protest…
Wells Fargo Investors Support Lawsuit Alleging Firm Rigged Arbitration Case, By Tracey Longo
Financial Advisor (May 12, 2022) - The saga of Wells Fargo’s “secret deal” with an Finra arbitrator has taken another turn, with investors filing a brief supporting a judge’s January decision to…
PIABA Pushes FINRA For Stronger Complex Product Regs, By Patrick Donachie
Wealth Management (May 11, 2022) - Asset managers and many advisors are waving red flags around FINRA's proposal to craft new rules for "complex products," which could make it harder to invest in…