PIABA Newsroom

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)
Jay Clayton, Chairman, SEC: Meeting Follow-Up Letter (April 26, 2019)
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In the Media

DOL Direction Sought After Fiduciary Rule Nixed By 5th Circ., By Dunstan Prial
Law360 (March 16, 2018) -- A Fifth Circuit ruling vacating the U.S. Department of Labor’s fiduciary rule for retirement account advisers has created confusion across a broad swath of the U.S.…
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…