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

FINRA Withdraws Rule Creating Expungement Arbitrator Roster, By Melanie Waddel
Think Advisor (May 28, 2021) - The Financial Industry Regulatory Authority said Friday that it is has withdrawn from the Securities and Exchange Commission its rule filing establishing a special…
Finra Shelves Expungement Reform Proposal It Had Slated for SEC Approval, By Miriam Rozen
AdvisorHub (May 28, 2021) - The Financial Industry Regulatory Authority said it withdrew “temporarily” a proposal to reform the procedures to expunge brokers’ public records, which it had before the…
PIABA’s New Expungement Study Shows…Nothing Has Changed, Including The Quality Of Customers’ Claims, By Christopher Seps
JD Supra (May 27, 2021) - I have been in a JAMS arbitration the last week or so, so thanks to Chris — Mr. Expungement — for his thoughts about PIABA’s study. –  Alan In a move that surprised nobody…
Wells Fargo Removing Some Restrictions in Customer Arb Agreements: CEO, By Melanie Waddell
ThinkAdvisor (May 26, 2021) - Wells Fargo CEO Charles Scharf told senators Wednesday that the bank is in the process of removing “confidentiality restrictions in all types of customer arbitration…