PIABA Newsroom

COMMENT LETTER: Comment on Draft Regulations to be added to Chapter 90 of the Nevada Administrative Code– Fiduciary Duty Regulations (March 1, 2019)
COMMENT LETTER: Pre-Proposed Amendment N.J.A.C. 13:47A-6.3, Fiduciary Duty (December 14, 2018)
Investor Advisory Committee Meeting (SEC), Statement of Christine Lazaro regarding FINRA Unpaid Arbitration Awards (December 13, 2018)
COMMENT LETTER: File Nos. S7-08-18; S7-09-18 and S7-07-18; Comments on RAND Corporation’s Testing of Form CRS Relationship Summary
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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…