PIABA Newsroom

COMMENT LETTER: Regulation Best Interest 17 CFR Part 1240 (August 7, 2018)
PRESS RELEASE - To Protect Retirement Savers, “Major Surgery” Needed To Fix Shortcoming Of SEC “Best Interest Standard” Proposal (August 7, 2018)
REPORT: Recommendations To Improve And Enhance The SEC Best Interest Standard For Investors (August 7, 2018)
COMMENT LETTER: FINRA Rule Amendments Relating to High-Risk Brokers and the Firms That Employ Them (June 28, 2018)
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In the Media

PIABA, Warren Want Action For Investors Unable To Collect Arbitration Awards, By Tracey Longo
Financial Advisor (March 8, 2018) -- The Public Investors Arbitration Bar Association (PIABA) used a press conference Wednesday to call on Finra to create an “investor recovery pool” that would use…
Senator Tries to Hold Finra Liable for Unpaid Arb Awards, By Alex Padalka
Financial Advisor IQ (March 8, 2019) -- Sen. Elizabeth Warren, D-Mass., wants to make Finra liable for unpaid arbitration awards, ThinkAdvisor writes. The senator’s Compensation for Cheated Investors…
Warren Bill Would Fund Unpaid Arbitration Awards, By Steve Garmhausen
Barron's (March 8, 2018) -- Here’s a good example of an investor who won an arbitration case against his advisor, only to get stiffed. It’s part of a huge problem that legislation from Sen. Elizabeth…
Merrill Lynch fined $1.25 million over Chinese stock sale, By Jeff Benjamin
InvestmentNews (March 8, 2018) -- SEC says Merrill missed 'red flags' while selling millions of shares Bank of America Merrill Lynch has reached a settlement agreement with the Securities and…