PIABA Newsroom

COMMENT LETTER: FINRA Regulatory Notice 22-08 - Comment on Sales Practice Obligations for Complex Products and Options (May 9, 2022)
COMMENT LETTER: Compliance Assistance Release No. 2022-01 401(k) Plan Investments in "Cryptocurrencies" (April 26, 2022)
PRESS RELEASE: Leading Consumer and Investor Advocates Urge DOL to Act Expeditiously on Fiduciary Rule Update (March 15, 2022)
COMMENT LETTER: Leading Consumer and Investor Advocates Urge DOL to Act Expeditiously on Fiduciary Rule Update (March 15, 2022)
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In the Media

Law Firm Hired By Finra Finds No Secret Deal Between Regulator And Wells Fargo, By Tracey Longo
Financial Advisor (June 29, 2022) - There are no secret deals or “improper agreements” to remove possibly prejudiced arbitrators from Financial Industry Regulatory Authority arbitration panels,…
FINRA ‘secret agreement’ probe ignores larger arbitration concerns, By Tobias Salinger
FinancialPlanning (June 29, 2022) - There was no “secret agreement” between Wells Fargo’s attorney and FINRA that improperly removed a potential arbitrator from a client complaint case at his request…
Report Finds 'No Evidence' of Secret Agreement Between Wells Fargo, FINRA, By Patrick Donachie
Wealth Management (June 29, 2022) - FINRA released a report from independent counsel Lowenstein Sandler, concluding there was no agreement between Wells Fargo’s counsel and the regulator to exclude…
In Wells Fargo Case, FINRA Didn't Manipulate Arb Process: Independent Review, By Melanie Waddell
ThinkAdvisor (June 29, 2022) - What You Need to Know A review found no evidence of an improper agreement to remove certain arbitrators from arbitration cases. Lowenstein said it does not believe…