PIABA Newsroom

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)
COMMENT LETTER: Proposed Amendments to the Quantitative Suitability Obligation Under FINRA Rule 2111 (June 18, 2018)
COMMENT LETTER: Proposed New Rule Governing Outside Business Activities and Private Securities Transactions (April 27, 2018)
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In the Media

Report: Arbitrations handled by non-lawyers can harm investors, By InvestmentNews
InvestmentNews (December 18, 2017) - Plaintiffs' attorney group PIABA criticizes work of representatives not subject to regulatory body A report by the Public Investors Arbitration Bar Association…
PIABA: Non-Attorney Representatives Are Real And Growing "Menace To Investors" In FINRA Arbitration
PR Newswire (December 18, 2017) - NAR Firms Found to Include Individual Who Pled Guilty in Insurance Scheme and Brokers Barred from Industry; Unwary Investors Have None of the Protections of Dealing…
FINRA may make it harder for brokers to erase past indiscretions, By Ann Marsh
FinancialPlanning (December 12, 2017) - Brokers may no longer be able to wipe years’ worth of disciplinary marks off their public BrokerCheck records, thanks to changes proposed by FINRA. The…
Finra's Proposed Ban On Expungements No Surprise, By Dan Jamieson
Financial Advisor (December 11, 2017) - This week, Finra proposed a rule that would prohibit brokers from removing customer complaints and certain arbitrations that are more than a year old. The…