PIABA Newsroom

CONGRESSIONAL LETTER: Warren-Porter Response to FINRA Letter (March 7, 2022)
CONGRESSIONAL LETTER: FINRA Response to Warren-Porter Letter (February 21, 2022)
Statement by Christine Lazaro on Protecting Retirement Savings - The Case for a New DOL Fiduciary Rule (February 14, 2022)
COMMENT LETTER: FINRA Regulatory Notice 21-43 - FINRA Proposed Amendments to FINRA Rule 3240 and Retrospective Rule Review Report (February 14, 2022)
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In the Media

Report Finds No Evidence of Side Deal Between Finra and Wirehouse Lawyer, By Miriam Rozen
AdvisorHub (June 29, 2022) - The outside law firm that the Financial Industry Regulatory Authority’s audit committee hired to review its arbitration process has rejected allegations about an improper…
FINRA orders National to pay $9M in latest alternative product case, By Tobias Salinger
Financial Planning (June 28, 2022) - A midsize wealth manager that’s under new ownership after a compliance overhaul agreed to its second major FINRA settlement this year relating to sales of…
Court Appears Set to Overturn Controversial Ruling That Wells Gamed Finra Arbitration, By Miriam Rozen
AdvisorHub (June 10, 2022) - A three-judge panel of the Court of Appeals of the State of Georgia showed skepticism about a trial court’s controversial ruling in January that vacated a 2019…
UBS Sues Investor for $1 Million in Attorneys Fees over ‘Frivolous’ Claim, By Miriam Rozen
AdvisorHub (June 7, 2022) - After beating back a $9.3 million claim from an investor in arbitration, UBS Financial Services has asked a court to hold them liable for its nearly $1 million in attorney…