PIABA Newsroom

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)
CONGRESSIONAL LETTER: Warren-Porter Letter to FINRA on Wells Fargo Scandal (February 9, 2022)
Statement of PIABA President About Judgment Finding Securities Industry-Sponsored Arbitration Provider, FINRA Dispute Resolution, Tipped The Scales to Favor Industry (February 2, 2022)
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In the Media

Finra Wants To Start Identifying 'Restricted' Firms On BrokerCheck, By Tracey Longo
Financial Advisor (July 18, 2022) - Broker-dealers designated as “restricted firms” by Finra because of the spotty records of their brokers may soon find that label slapped on their public…
Law Firm Hired By Finra Finds No Secret Deal Between Regulator And Wells Fargo, By Tracey Longo
Financial Advisor (June 29, 2022) - There are no secret deals or “improper agreements” to remove possibly prejudiced arbitrators from Financial Industry Regulatory Authority arbitration panels,…
FINRA ‘secret agreement’ probe ignores larger arbitration concerns, By Tobias Salinger
FinancialPlanning (June 29, 2022) - There was no “secret agreement” between Wells Fargo’s attorney and FINRA that improperly removed a potential arbitrator from a client complaint case at his request…
Report Finds 'No Evidence' of Secret Agreement Between Wells Fargo, FINRA, By Patrick Donachie
Wealth Management (June 29, 2022) - FINRA released a report from independent counsel Lowenstein Sandler, concluding there was no agreement between Wells Fargo’s counsel and the regulator to exclude…