PIABA Newsroom

COMMENT LETTER: SR-FINRA-2020-030; Proposed Rule Change to Modify the Current Process Relating to the Expungement of Customer Dispute Information (October 23, 2020)
Statement of PIABA President Sam Edwards on DOL Fiduciary Rule (September 3, 2020)
PRESS RELEASE: As Americans Struggle to Save For Retirement, The DOL Offers Little Protection (August 6, 2020) (includes PIABA Comment Letter)
COMMENT LETTER: DOL Application No D12011 Docket ID No EBSA 2020 0003 (August 6, 2020)
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In the Media

Brokers Still Gaming BrokerCheck With New Tactics: PIABA, By Melanie Waddell
ThinkAdvisor (May 19, 2021) - Brokers have another tactic to get customer complaints expunged from the Financial Industry Regulatory Authority’s BrokerCheck, according to the Public Investors…
Brokers’ Expungement Success Should Prompt Bolstered Reforms: Plaintiff Lawyers, By Miriam Rozen
AdvisorHub (May 18, 2021) - The 90% success rate brokers have achieved in the past 15 months at winning expungements of customers’ complaints from their public records should alarm investors and…
PIABA finds arbitrators grant expungement 90% of the time, By InvestmentNews
InvestmentNews (May 18, 2021) - The Public Investors Advocate Bar Association released a report on recent expungement awards on Tuesday and renewed its call for the Financial Industry Regulatory…
With Broker Misconduct Expungements Soaring, PIABA Urges SEC To Step In, By Tracey Longo
Financial Advisor (May 18, 2021) - With expungement arbitration awards soaring 1,000%, the Finra plan to fix the system that allows registered reps to erase misconduct and customer complaints from…