PIABA Newsroom

COMMENT LETTER: SR-FINRA-2022-015 - Proposed Rule Change to Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure) to Release Information on BrokerCheck® Relating to Firm Designation as a Restricted Firm (July 8, 2022)
PIABA BRIEFs: King vs. Kovack Securities, Brian Kovack, Motion for Leave to File (US App Ct 11th Cir June 7, 2022)
AMICUS BRIEF: Brian Leggett vs. Wells Fargo, Brief of Amicus Curiae PIABA in Support of Appellees, Supreme Court of Fulton County (May 31, 2022)
OPED: Voices Department of Labor must do more to protect retirement savers from advisor conflicts, By Christine Lazaro and Stephan Hall (May 31, 2022)
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In the Media

Clients Remain Patient Despite Market Volatility, Brokers and Plaintiff Lawyers Say, By Miriam Rozen
AdvisorHub (October 20, 2022) - Many clients are showing patience, and the onslaught of lawsuits or complaints that often crop up in the aftermath of severe market shocks has not set in despite…
The golden loophole: How metals sellers avoid regulatory scrutiny, By Andrew Foerch
Citywire RIA (October 13, 2022) -  ‘You have a best interest standard in the brokerage world. You have a fiduciary standard for RIAs. In precious metals, there is no standard.’ As stocks and bonds…
SEC urged to revise strategic plan to address RIA arbitration, threats to senior investors, By Mark Schoeff Jr.
InvestmentNews (October 4, 2022) - Comments from the Chamber of Commerce focused on making enforcement fairer, while organizations disagreed about who should be eligible to participate in private…
FINRA scraps max fines for various financial violations, By Dan Shaw
Financial Planning (September 29, 2022) - FINRA is saying there should be no limit on fines for violations like excessive trading and recommending tailored penalties for individual advisors and small…