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 needs to get serious about its pledge to protect investors
InvestmentNews (December 2, 2017) -- This is not the first time the regulator has been called out on the makeup of its board. The bylaws of the Financial Industry Regulatory Authority Inc. state that…
SEC Hires TIAA General Counsel In Midst Of TIAA Sales Investigations, By Tracey Longo
Financial Advisor (November 27, 2017) - It’s no secret that many of the brightest, most ambitious securities attorneys in the country use a coveted stint at the Securities and Exchange Commission to…
Searchable Bad Broker Database 'Long Overdue' But Will Face Scrutiny, By Melanie Waddell
ThinkAdvisor (November 27, 2017) - FINRA says it will help SEC with database, while head of PIABA says database only a Band-Aid for a ‘really serious problem’ SEC Chairman Jay Clayton is moving full…
Len Boselovic’s Heard off the Street: Is obscure Wall Street policeman really protecting investors?, By Len Boselovic
Pittsburgh Post-Gazette (November 20, 2017) - For a regulatory agency dedicated to protecting investors, the Financial Industry Regulatory Authority has some explaining to do. Thus sayeth a group of…