PIABA Newsroom

COMMENT LETTER: FINRA Proposed Rule Change to Amend Rule 2165 (Financial Exploitation of Specified Adults) - File No. SR-FINRA-2021-016 (July 19, 2021)
REPORT: 2021 Updated Study on FINRA Expungements (May 18, 2021)
PRESS RELEASE: PIABA Foundation/PIABA: New FINRA Steps to Fix Flaws in Brokers Misconduct "Expungement" Process Won't Work, Independent Investor Advocate Needed (May 18, 2021)
PRESS RELEASE: Letter to DOL on How to Fix the Advice Rule (May 6, 2021)
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In the Media

New PIABA President Takes Aim At Unpaid Arbitrations Awards, By Tracey Longo
Financial Advisor (November 1, 2021) - Brokers and advisors who close up shop and declare bankruptcy to sidestep paying arbitration awards to the investors they defrauded are the scourge of every…
The End of Forced Arbitration? By Susan Antilla
The American Prospect (October 6, 2021) - Persistent advocates and new strategies have led some companies to relent on blocking access to courts. But there’s a long way to go. It sounds like a scene…
State Regulators Propose Fix to Mounting Unpaid Arb Awards, By Miriam Rozen
AdvisorHub (October 6, 2021) - The North American Securities Administrators Association unveiled this week proposed model rules through which state regulators could revoke licenses of state-…
NASAA seeks comment on new rules for unpaid arbitration awards, By InvestmentNews
InvestmentNews (October 5, 2021) - The North American Securities Administrators Association, the group representing state and provincial securities regulators, will put out for public comment a set…