PIABA Newsroom

COMMENT LETTER: FINRA Regulatory Notice 17-38: Remote Branch Inspections (January 11, 2018)
COMMENT LETTER: Regulatory Notice 17-34 - Non-Attorney Representatives in Arbitration (December 18, 2017)
PRESS RELEASE: Non-Attorney Representatives Are Real and Growing "Menace to Investors" in FINRA Arbitration (December 18, 2017)
REPORT: Non-Attorney Representatives in FINRA Arbitration (December 18, 2017)
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In the Media

FINRA Tightens Noose on Broker Expungement Process, By Jed Horowitz
AdvisorHUB (December 8, 2017) - The Financial Industry Regulatory Authority’s new proposal to amend rules regarding brokers’ ability to expunge customer complaints from regulatory and public records…
Financial regulator's conflicts of interest are a serious concern
The Hill (December 8, 2017) - Financial regulation often seems complicated, and the public tends not to care because we may lack context to grasp all of the issues at stake. Still, there is one issue…
Finra would have special arbitrators make expungement decisions, By Mark Schoeff, Jr.
InvestmentNews (December 8, 2017) - Regulator also seeks to set one-year limit from time a case closes to request a hearing Arbitrators specifically qualified to determine whether brokers should have…
A Hidden Danger Few Investors Understand, By Dan Solin
Huffington Post (December 5, 2017) - Over the years, I’ve written extensively on how to invest intelligently and responsibly, based on sound, peer-reviewed evidence. Together with many others, I’ve…