PIABA Newsroom

COMMENT LETTER: Massachusetts Fiduciary Duty Proposed Amendments to 950 CMR Sections 12.204, 12.205 & 12.207 (January 7, 2020)
AMICUS BRIEF: XY Planning Network LLC et al vs. SEC Brief of PIABA as Amicus Curiae in Support of Petitioners 2nd Cir Ct of App (January 3 2020)
COMMENT LETTER: Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 12000 Series to Expand Options Available to Customers if a Firm or Associated Person is or Becomes Inactive (December 13, 2019)
COMMENT LETTER: Comment on Rules and Issues Relating to Senior Investors (October 8, 2019)
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In the Media

Finra seeks minimum expungement fees of several thousand dollars, By Mark Schoeff Jr.
InvestmentNews (February 11, 2020) - Proposal aims to raise bar for brokers to clear their records, but a lawyer for investors says it only will fill Finra's coffers Finra is proposing to assess…
Finra proposal to clamp down on firms, reps with unpaid arb awards moves forward, By Mark Schoeff Jr.
InvestmentNews (February 7, 2020) - Rule would restrict movement of brokers or firms’ assets if arbitration claims are pending A Finra proposal that would restrict registered representatives from…
Banned from selling securities but still hawking insurance, By Bruce Kelly
InvestmentNews (January 28, 2019) - Three salesmen barred for selling the Woodbridge Ponzi scheme still have state licenses to sell insurance The Securities and Exchange Commission earlier this week…
Carson expungement illustrates problem with system, lawyers say, Mark Schoeff Jr.
InvestmentNews (January 23, 2020) - A Finra arbitrator ruled that a customer dispute from 2004 should be removed from his record Ron Carson succeeded in removing a customer dispute from his record,…