PIABA Newsroom

PRESS RELEASE: "It's A Broken System": Investment Fraud Victims Speak Out About Industry-Favored System of RIA-Forced Arbitration (July 25, 2023)
PRESS RELEASE: “Double Whammy For Investors”: PIABA Reacts To New SEC Report Commissioned By Congress On Injustice Of RIA-Forced Arbitration (June 29, 2023)
COMMENT LETTER: SR-FINRA-2023-007 – Proposed Rule Change To Adopt Supplementary Material .18 (Remote Inspections Pilot Program) Under FINRA Rule 3110 (Supervision) (May 24, 2023)
COMMENT LETTER: SR-SEC-S7-04-23 - Proposed Rule Change regarding custody requirements for Registered Investment Advisers (May 7, 2023)
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In the Media

Securities – Fiduciary duty rule – Broker-dealers, By Mass. Lawyers Weekly Staff
Massachusetts Lawyers Weekly (August 28, 2023) - Where a plaintiff filed a complaint challenging the validity of a state regulation that brings the fiduciary obligations of broker-dealers in line…
FINRA Amends Expungement Procedures to Prevent Broker Abuses, By Irving Wilkinson
ABS Market Research (August 16, 2023) - The process for removing customer complaints from broker records is as simple as erasing pencil traces off paper. It’s also invisible to the public. The…
Finra’s New Hurdles for Broker Expungements to Take Effect in October, By Miriam Rozen and Mason Braswell
AdvisorHub (August 14, 2023) - Come October, brokers may have a tougher time erasing customer disputes from their public record.  The Financial Industry Regulatory Authority has adopted a raft of…
Finra adopts reforms to make it tougher for brokers to clear their records, By Mark Schoeff Jr.
InvestmentNews (August 14, 2023) - Securities attorney hails 'good day for Finra and an even better day for investors.' Attorneys who represent investors in actions against brokerages and registered…