PIABA Newsroom

COMMENT LETTER: Proposed Amendments to the Definition of "Accredited Investor" File No. S7-25-19 (March 16, 2020)
COMMENT LETTER: FINRA Regulatory Notice 20-02; Comment on the Effectiveness and Efficiency of Its Reporting Requirements Rule (February 26, 2020)
COMMENT LETTER: Proposed Rule to Limit a Registered Person from Being Named a Customer’s Beneficiary or Holding a Position of Trust for or on Behalf of a Customer (January 10, 2020)
COMMENT LETTER: Massachusetts Fiduciary Duty Proposed Amendments to 950 CMR Sections 12.204, 12.205 & 12.207 (January 7, 2020)
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In the Media

Brokers Appealing Disciplinary Actions May Face Tougher Oversight, By Tracey Longo
Financial Advisor (May 11, 2020) - Registered reps who have been barred from the securities or been the subject of other disciplinary actions are able to continue working without restrictions if they…
Plaintiffs’ Lawyers Group PIABA Taking “Arbitration” Out of Its Name, By AdvisorHub Staff
AdvisorHub (April 29, 2020) - PIABA, the trade association founded 30 years ago by lawyers representing investors in securities arbitrations against firms and brokers, is taking “arbitration” out of…
Finra postpones in-person arbitration hearings until May 1 due to COVID-19, By Mark Schoeff Jr.
InvestmentNews (March 16, 2020) - The broker-dealer regulator said it is taking action ‘in the interest of public safety’ Finra has postponed all in-person arbitration and mediation proceedings…
LPL, Ameriprise Wrongly Docked My Pay: Lawsuit, By Mrinalini Krishma
Financial Advisor IQ (March 2, 2020) - LPL Financial and Ameriprise have been accused of unfairly deducting expenses from the commissions of a Beverly Hills-based advisor, who says his worker status…