PIABA Newsroom

COMMENT LETTER: Comment on Rules and Issues Relating to Senior Investors (October 8, 2019)
COMMENT LETTER: Roundtable on Combating Elder Investor Fraud (October 2, 2019)
COMMENT LETTER: Concept Release on Harmonization of Securities Offering Exemptions File No. S7-08-19 (September 24, 2019)
COMMENT LETTER: Proposed Amendments to Massachusetts 950 CMR Sections Requiring Broker-dealers, agents, investment advisers and investment adviser representatives be subject to a Fiduciary Duty (July 26, 2019)
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In the Media

Merrill Lynch snags a former top FINRA exec: Susan Axelrod, By Kenneth Corbin
FinancialPlanning | OWS (March 29, 2018) -- After nearly 30 years regulating Wall Street firms, Susan Axelrod is about to join one of the biggest brokerages she helped oversee: Merrill Lynch. Axelrod…
Ex-Brokers Ordered to Pay Clients $845,000, By Alex Padalka
Financial Advisor IQ (March 27, 2018) -- A Finra panel has ordered a pair of former brokers to pay back clients $845,000 over losses tied to a multimillion-dollar stock fraud scheme, InvestmentNews…
Finra panel awards firm $780,424 against broker to repay legal costs, By Mark Schoeff Jr.
InvestmentNews (March 27, 2018) -- The question now becomes whether Alliance Affiliated Equities Corp. will be able to collect the arbitration award, a problem investors often face t's not just…
FINRA makes it cheaper to get inside arbitrators’ heads, By Margarida Correia
Financial Planning | BIC (March 22, 2018) -- Parties to a FINRA arbitration will no longer have to pay a $400 fee for an explanation as to why the arbitrators ruled the way they did, according to a…