PIABA Newsroom

COMMENT LETTER: Regulatory Notice 20-34; Senior Investors Proposed Amendments to FINRA Rule 2165 and Retrospective Rule Review Report (December 4, 2020)
COMMENT LETTER: SR-FINRA-2020-038 - Proposed Rule Change to Amend FINRA Rules 5122 (Private Placements of Securities Issued by Members) and 5123 (Private Placements of Securities)(November 27, 2020)
COMMENT LETTER: SEC File Number S7-13-20 - Proposed Exemptive Order Granting Conditional Exemption from the Broker Registration Requirements of Section 15(a) of the Securities Exchange Act of 1934 for Certain Activities of Finders (November 12, 2020)
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)
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In the Media

PIABA’s New Expungement Study Shows…Nothing Has Changed, Including The Quality Of Customers’ Claims, By Christopher Seps
JD Supra (May 27, 2021) - I have been in a JAMS arbitration the last week or so, so thanks to Chris — Mr. Expungement — for his thoughts about PIABA’s study. –  Alan In a move that surprised nobody…
Wells Fargo Removing Some Restrictions in Customer Arb Agreements: CEO, By Melanie Waddell
ThinkAdvisor (May 26, 2021) - Wells Fargo CEO Charles Scharf told senators Wednesday that the bank is in the process of removing “confidentiality restrictions in all types of customer arbitration…
FINRA arbitration expungement reform won’t fix problems, PIABA says, By Tobias Salinger
FinancialPlanning (May 24, 2021) - With the SEC expected to approve the latest FINRA arbitration expungement reform this week, client attorneys released data that they argue shows the changes aren’t…
David P. Meyer Co-Authors Report on Flawed FINRA Expungement Process, Urging Regulators to Take Action, By Meyer Wilson
PRNewswire (May 21, 2021) - David P. Meyer, President of the Public Investors Advocate Bar Association (PIABA), has co-authored a new report on the FINRA expungement process. PIABA is an…