PIABA Newsroom

COMMENT LETTER: Notice of Filing of a Proposed Rule Change Relating to Simplified Arbitration (March 6, 2018)
REPORT: Unpaid Arbitration Awards - The Case For An Investor Recovery Pool (March 7, 2018)
PRESS RELEASE: FINRA Report on Unpaid Awards For Aggrieved Investors Gets Good Marks From Arbitration Attorneys (February 8, 2018)
COMMENT LETTER: FINRA Regulatory Notice 17‐42: Expungement of Customer Dispute Information (February 2, 2018)
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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…