PIABA Newsroom

OPED: Voices Department of Labor must do more to protect retirement savers from advisor conflicts, By Christine Lazaro and Stephan Hall (May 31, 2022)

PRESS RELEASE: Leading Worker, Consumer and Investor Advocates Urge SEC to Investigate RIA Mandatory Arbitration (May 18 2022)

COMMENT LETTER: FINRA Regulatory Notice 22-09 - FINRA Proposed Rule to Accelerate Processing of Arbitration Proceedings for Seriously Il or Elderly Parties (May 16, 2022)

COMMENT LETTER: FINRA Regulatory Notice 22-08 - Comment on Sales Practice Obligations for Complex Products and Options (May 9, 2022)

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In the Media

Ex-RBC, Ameriprise Broker With Kidnapping Charge, $2.5-Mln Client Complaint Accepts Bar, By Karmen Alexander

AdvisorHub (June 13, 2023 ) - A former top-ranked RBC Wealth Management-U.S. and Ameriprise Financial broker whose record includes a kidnapping charge and $2.5 million client claim has accepted an…

House Advances Bills to Expand Accredited Investor Definition, By Melanie Waddell

Think Advisor (June 5, 2023) - The full House passed late Monday two more accredited investor-related bills. The Accredited Investor Definition Review Act, H.R. 1579, sponsored by Rep. Bill Huizenga…

PIABA Objects, Again, to Finra Remote Flexibility Proposal, By Miriam Rozen

AdvisorHub (May 26, 2023) - A group of plaintiff lawyers are standing their ground against the Financial Industry Regulatory Authority’s proposal to launch a three-year “pilot” allowing most firms…

House Committee Passes Bills Aimed at Expanding ‘Accredited Investor’ Pool, By Alex Padalka

Financial Advisor IQ (April 27, 2023) - The House Financial Services Committee passed several bills making it easier for investors to qualify as “sophisticated” or “accredited” in order to gain…