PIABA Newsroom

COMMENT LETTER: Proposed Rule Change to Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure) to Allow the Dissemination of IAPD Information through BrokerCheck (May 26, 2020)
COMMENT LETTER: File No. SR-FINRA-2020-011, FINRA proposed rule change to address brokers with a significant history of misconduct (May 5, 2020)
COMMENT LETTER: File No. SR-FINRA-2020-007 (FINRA proposed rule change to suitability and non-cash compensation rules to clarify and conform rules to Reg BI) (April 15, 2020)
COMMENT LETTER: No. S7-04-20 (April 15, 2020)
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In the Media

Plaintiffs’ Lawyers Group PIABA Taking “Arbitration” Out of Its Name, By AdvisorHub Staff
AdvisorHub (April 29, 2020) - PIABA, the trade association founded 30 years ago by lawyers representing investors in securities arbitrations against firms and brokers, is taking “arbitration” out of…
Finra postpones in-person arbitration hearings until May 1 due to COVID-19, By Mark Schoeff Jr.
InvestmentNews (March 16, 2020) - The broker-dealer regulator said it is taking action ‘in the interest of public safety’ Finra has postponed all in-person arbitration and mediation proceedings…
LPL, Ameriprise Wrongly Docked My Pay: Lawsuit, By Mrinalini Krishma
Financial Advisor IQ (March 2, 2020) - LPL Financial and Ameriprise have been accused of unfairly deducting expenses from the commissions of a Beverly Hills-based advisor, who says his worker status…
RayJay, Edward Jones Reverse Churn Claims Stand Little Chance: Lawyers, By Mrinalini Krishna, Miriam Rozen
Financial Advisor IQ (February 13, 2020) - Investors have pressed courts recently to approve class actions against Raymond James and Edward Jones based on reverse churning allegations. But no court…