PIABA Newsroom

COMMENT LETTER: SEC S7-32-22 Proposed Rule – Regulation Best Execution (March 29, 2023)
COMMENT LETTER: OFR Bill Reforming Chapter 517 - Recommendation to Support Florida's Office of Financial Regulation Ch. 517 Reform Legislation (March 2, 2023)
COMMENT LETTER: SR-FINRA-2022-033 - Proposed Rule Change to Amend the Codes of Arbitration Procedure to Make Various Clarifying and Technical Changes to the Codes (February 1, 2023)
COMMENT LETTER: Release No. IA-6176 - Proposed Rule Change to prohibit registered investment advisers from outsourcing certain services or functions without first meeting minimum requirements (December 21, 2022)
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In the Media

'Where is the justice?' Investors decry RIA arbitration clauses, By Sam Bojarski
Citywire RIA (July 26, 2023) - Some investors and their legal advocates say that mandatory arbitration can present a prohibitive barrier to RIA clients' ability to pursue claims against firms.…
Investment Victims Sound Alarm On 'Broken' RIA Arbitration System, By Tracey Longo
Financial Advisor (July 26, 2023) - On Tuesday, the Public Investors Advocate Bar Association hosted a press conference in which investors defrauded by registered investment advisors discussed the…
Lawyers Call for Regulators to Reel in RIAs’ Use of Forced Arbitration, By Brianna Monsanto
Financial Advisor IQ (July 26, 2023) - An organization of plaintiffs’ lawyers urged the SEC to increase investor choice regarding where to settle claims and to require RIAs to disclose information…
PIABA Asks SEC to Curtail RIAs’ Use of Mandatory Arbitration, Force Disclosure of Client Claims, By Lisa Fu
AdvisorHub (July 25, 2023) - A trade group representing plaintiffs’ lawyers on Tuesday called for the Securities and Exchange Commission to end a “broken” arbitration system for investors bringing…