PIABA Newsroom

PRESS RELEASE: Investors Face Major Uptick in Investment Scams if FINRA Unleashes "Rogue Brokers" by Gutting Supervision Rules (October 4, 2018)
COMMENT LETTER, Proposed Amendments to Its Discovery Guide to Require Production of Insurance Information in Arbitration (September 24, 2018)
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)
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In the Media

PIABA: As Unpaid Arbitration Awards Top $200 Million, Congress Must Force Creation Of "Arbitration Pool" If FINRA Does Not Act
PR Newswire (March 7, 2018) -- "The Problem is Not Solving Itself" and FINRA Discussions Seen as Inadequate; NFL Player Is Typical of Individuals Losing Life Savings, Getting $0 of Awarded Funds.…
Sen. Warren introduces bill targeting unpaid Finra arbitration awards, By Mark Schoeff Jr.
InvestmentNews (March 6, 2018) -- Legislation directs the regulator to use fines to establish a pool of money to cover shortfalls Sen. Elizabeth Warren, D-Mass., introduced legislation Tuesday that…
Bill Requires FINRA to Foot Unpaid Arb Bills, By Melanie Waddell
ThinkAdvisor (March 6, 2018) -- Sen. Elizabeth Warren, D-Mass., introduced legislation Tuesday to require the Financial Industry Regulatory Authority to use its existing authority to compensate…
Merrill Lynch tries to avoid arbitration in dozens of cases with former executives, By Mark Schoeff Jr.
InvestmentNews (March 5, 2018) -- About 60 former wirehouse staff claim they lost about $400 million when their Merrill stock dropped in 2007-08 due to the firm's exposure to mortgage-backed…