PIABA Newsroom

COMMENT LETTER: FINRA Regulatory Notice 21-43 - FINRA Proposed Amendments to FINRA Rule 3240 and Retrospective Rule Review Report (February 14, 2022)
CONGRESSIONAL LETTER: Warren-Porter Letter to FINRA on Wells Fargo Scandal (February 9, 2022)
Statement of PIABA President About Judgment Finding Securities Industry-Sponsored Arbitration Provider, FINRA Dispute Resolution, Tipped The Scales to Favor Industry (February 2, 2022)
OPED: Costly forced arbitration against RIAs harms investors, By Christine Lazaro and Michael S. Edmiston (January 14, 2022)
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In the Media

Consumer groups call for SEC probe of RIAs' use of mandatory arbitration, By Amanda Howard
Investment News (May 19, 2022) - Many funding advisory corporations put obligatory arbitration clauses of their purchasers’ contracts with out telling them and drive them into pricey arbitration…
Groups Want Probe of RIAs Over Mandatory Arbitration, By Alex Padalka
Financial Advisor IQ (May 19, 2022) - Registered investment advisor firms often force customers into forced arbitration that is costly and non-transparent, according to the groups. Several investor…
Investor Advocates Urge SEC Probe Of RIAs' Pricey Forced Arbitration, By Tracey Longo
Financial Advisor (May 19, 2022) - A coalition of investor advocates are urging the SEC to investigate registered investment advisors' use of predispute arbitration clauses that allegedly force…
Consumer groups call for SEC probe of RIAs' use of mandatory arbitration, By Mark Schoeff Jr.
Investment News (May 18, 2022) - RIAs aren't adequately disclosing arbitration clauses in client contracts and are forcing clients into expensive dispute forums, the groups said. Many funding…