PIABA Newsroom

COMMENT LETTER: Proposal to Amend FINRA Rules 12214 and 13214 (August 15, 2018)
COMMENT LETTER: Regulation Best Interest 17 CFR Part 1240 (August 7, 2018)
PRESS RELEASE - To Protect Retirement Savers, “Major Surgery” Needed To Fix Shortcoming Of SEC “Best Interest Standard” Proposal (August 7, 2018)
REPORT: Recommendations To Improve And Enhance The SEC Best Interest Standard For Investors (August 7, 2018)
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In the Media

Merrill Lynch fined $1.25 million over Chinese stock sale, By Jeff Benjamin
InvestmentNews (March 8, 2018) -- SEC says Merrill missed 'red flags' while selling millions of shares Bank of America Merrill Lynch has reached a settlement agreement with the Securities and…
Warren, PIABA call for FINRA fund to pay arbitration awards, By Kenneth Corbin
FinancialPlanning (March 7, 2018) -- Investor advocates and one of their leading voices in Congress are upping pressure on FINRA to ensure that bilked investors are paid the compensation they were…
Savings of Ex-NFL Player Left Gutted by Unpaid FINRA Arb Award, By Melanie Waddell
ThinkAdviser (March 7, 2018) -- Former NFL player Bruce Wilkerson would finally receive the $610,000 arbitration award he was granted in 2015 if legislation introduced Tuesday by Sen. Elizabeth…
Finra unpaid arbitration increased in 2017, PIABA report finds, By Mark Schoeff Jr.
InvestmentNews (March 7, 2018) -- Lawyers group calls on broker regulator to set up fund to compensate investors Lawyers representing customers in Finra arbitration released a report Wednesday…