PIABA Newsroom

COMMENT LETTER: FINRA Regulatory Notice 22-09 - FINRA Proposed Rule to Accelerate Processing of Arbitration Proceedings for Seriously Il or Elderly Parties (May 16, 2022)
COMMENT LETTER: FINRA Regulatory Notice 22-08 - Comment on Sales Practice Obligations for Complex Products and Options (May 9, 2022)
COMMENT LETTER: Compliance Assistance Release No. 2022-01 401(k) Plan Investments in "Cryptocurrencies" (April 26, 2022)
PRESS RELEASE: Leading Consumer and Investor Advocates Urge DOL to Act Expeditiously on Fiduciary Rule Update (March 15, 2022)
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In the Media

Report Finds No Evidence of Side Deal Between Finra and Wirehouse Lawyer, By Miriam Rozen
AdvisorHub (June 29, 2022) - The outside law firm that the Financial Industry Regulatory Authority’s audit committee hired to review its arbitration process has rejected allegations about an improper…
FINRA orders National to pay $9M in latest alternative product case, By Tobias Salinger
Financial Planning (June 28, 2022) - A midsize wealth manager that’s under new ownership after a compliance overhaul agreed to its second major FINRA settlement this year relating to sales of…
Court Appears Set to Overturn Controversial Ruling That Wells Gamed Finra Arbitration, By Miriam Rozen
AdvisorHub (June 10, 2022) - A three-judge panel of the Court of Appeals of the State of Georgia showed skepticism about a trial court’s controversial ruling in January that vacated a 2019…
UBS Sues Investor for $1 Million in Attorneys Fees over ‘Frivolous’ Claim, By Miriam Rozen
AdvisorHub (June 7, 2022) - After beating back a $9.3 million claim from an investor in arbitration, UBS Financial Services has asked a court to hold them liable for its nearly $1 million in attorney…