PIABA Newsroom

COMMENT LETTER: SR-FINRA-2022-019 - Proposed Rule Change to Adopt New Supplementary Material .19 (Residential Supervisory Location) under FINRA Rule 3110 (August 23, 2022)

COMMENT LETTER: S7-16-22 Names Rule (August 15, 2022)

PRESS RELEASE: PIABA Supports the Investor Justice Act of 2022 (July 28, 2022)

AMICUS LETTER: Amicus Letter of the Public Investors Advocate Bar Association in Opposition to Request for Depublication of Williams v. Nat'l Western Life Ins. Co (July 18, 2022)

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In the Media

Off the record: Brokers have until Dec. 7 to comment on FINRA expungement proposal, By Dan Shaw

Financial Planning (November 18, 2022) - Brokers have until Dec. 7 to comment on an amended rule that would make it harder for them to have customer complaints expunged from the online database…

Expungement Rule Proposal Delayed Again As Finra Tightens Reforms, By Miriam Rozen

AdvisorHub (November 11, 2022) - The Financial Industry Regulatory Authority has once again revised and delayed a proposed rule change aimed at tightening the process for brokers to expunge customer…

New PIABA President Looks Toward Investors’ Volatility Concerns, By Patrick Donachie

Wealth Management (November 8, 2022) - In a discussion with WealthManagement.com, Hugh Berkson said the organization will continue to raise awareness of the issue of unpaid arbitration awards and the…

SEC seeks more input on Finra proposal to allow supervision from home offices, By Mark Schoeff Jr.

Investment News (November 2, 2022) - State regulators and PIABA have questioned whether a residential supervisory location would provide appropriate investor protection. Finra is trying to update…