PIABA Newsroom

Statement of PIABA President Sam Edwards on DOL Fiduciary Rule (September 3, 2020)
PRESS RELEASE: As Americans Struggle to Save For Retirement, The DOL Offers Little Protection (August 6, 2020) (includes PIABA Comment Letter)
COMMENT LETTER: DOL Application No D12011 Docket ID No EBSA 2020 0003 (August 6, 2020)
COMMENT LETTER: SR-FINRA-2020-020 - Proposed Rule Change to Adopt FINRA Rule 3241 (Registered Person Being Named a Customer’s Beneficiary or Holding a Position of Trust for a Customer) (July 30, 2020)
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In the Media

Investor Complaints Are Being Erased From Advisor Records. Why That’s a Problem, By Andrew Welsch
Barron's (May 20, 2021) - Brokers are erasing client complaints from their regulatory records at a brisk pace, potentially creating blindspots for state securities regulators and consumers, according…
It’s too easy for problem brokers to win expungement, Piaba says, By Andrew Foerch
CityWire (May 19, 2021) - The advocacy association is urging Finra to install an ‘independent investor advocate’ to bring balance to the process of arbitrating investor complaints. The Public…
Brokers Still Gaming BrokerCheck With New Tactics: PIABA, By Melanie Waddell
ThinkAdvisor (May 19, 2021) - Brokers have another tactic to get customer complaints expunged from the Financial Industry Regulatory Authority’s BrokerCheck, according to the Public Investors…
Brokers’ Expungement Success Should Prompt Bolstered Reforms: Plaintiff Lawyers, By Miriam Rozen
AdvisorHub (May 18, 2021) - The 90% success rate brokers have achieved in the past 15 months at winning expungements of customers’ complaints from their public records should alarm investors and…