PIABA Newsroom

COMMENT LETTER: Comment on Draft Regulations to be added to Chapter 90 of the Nevada Administrative Code– Fiduciary Duty Regulations (March 1, 2019)
COMMENT LETTER: Pre-Proposed Amendment N.J.A.C. 13:47A-6.3, Fiduciary Duty (December 14, 2018)
Investor Advisory Committee Meeting (SEC), Statement of Christine Lazaro regarding FINRA Unpaid Arbitration Awards (December 13, 2018)
COMMENT LETTER: File Nos. S7-08-18; S7-09-18 and S7-07-18; Comments on RAND Corporation’s Testing of Form CRS Relationship Summary
Subscribe to PIABA Newsroom

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…