PIABA Newsroom

COMMENT LETTER: FINRA Rule Amendments Relating to High-Risk Brokers and the Firms That Employ Them (June 28, 2018)
COMMENT LETTER: Proposed Amendments to the Quantitative Suitability Obligation Under FINRA Rule 2111 (June 18, 2018)
COMMENT LETTER: Proposed New Rule Governing Outside Business Activities and Private Securities Transactions (April 27, 2018)
COMMENT LETTER: Proposed Amendments to its Membership Application Program to Incentivize Payment of Arbitration Awards (April 9, 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…