PIABA Newsroom

PRESS RELEASE: PIABA: Divided SEC Vote Lowering Investor Advice Protections for Investors "Very Disappointing" (June 5, 2019)
PRESS RELEASE: CFA & PIABA: SEC Chair's Proposal on Investment Advice Should be Renamed "Regulation NBI (Not Best Interest)" (June 4, 2019)
REPORT: Clayton “BI” Proposal is a Step Backwards That Will Not End Conflicted Advice and Investor Confusion (June 4, 2019)
COMMENT LETTER: Request for Comment on Proposed Rule to Adopt Remaining Legacy NASD and Incorporated NYSE Rules as FINRA Rules (May 6, 2019)
Subscribe to PIABA Newsroom

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…