PIABA Newsroom

PRESS RELEASE: PIABA: "Investor Choice Act" Needed to Help Main Street Investors Better Protect Their Nest Eggs (April 15, 2021)
COMMENT LETTER: SR-FINRA-2020-030, Rebuttal Comment (January 29, 2021)
COMMENT LETTER: SR-FINRA-2020-045 - Proposed Rule Change to Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure) (January 20, 2021)
COMMENT LETTER: SR-FINRA-2020-041 - Proposed Rule Change To Adopt FINRA Rule 4111 (Restricted Firm Obligations) and FINRA Rule 9561 (Procedures for Regulating Activities Under Rule 4111) (December 28, 2021)
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In the Media

LPL Settles $1M Lawsuit For Fraud Victims, By Harion Camargo
ABS News & Research (March 29, 2022) - A major LPL Financial hybrid RIA firm quietly settled a lawsuit brought by fraud victims alleging that its response to a former financial adviser’s scheme…
LPL and Integrated Partners RIA quietly settled fraud case for $1M, By Tobias Salinger
FinancialPlanning (March 28, 2022) - A major LPL Financial hybrid RIA enterprise quietly settled a fraud victim’s lawsuit alleging its response to a former financial advisor’s scheme was “as…
FINRA Dispute Resolution Update: The More Things Change . . . By Christy Boardman and Josh Jones
JDSupra (March 21, 2022) - As it was for the rest of the world, 2021 was an interesting year for the Financial Industry Regulatory Authority (FINRA). For those unfamiliar with ongoing developments at…
Consumer Advocates Urge DOL to Revamp Fiduciary Rule, By Alex Padalka
Financial Advisor IQ (March 17, 2022) - More than three dozen groups are urging the department to revise the exemption put in place in 2020 that allows firms to collect revenue-sharing fees. The …