PIABA Newsroom

AMICUS LETTER: Amicus Letter of the Public Investors Advocate Bar Association in Opposition to Request for Depublication of Williams v. Nat'l Western Life Ins. Co (July 18, 2022)

COMMENT LETTER: SR-FINRA-2022-015 - Proposed Rule Change to Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure) to Release Information on BrokerCheck® Relating to Firm Designation as a Restricted Firm (July 8, 2022)

PIABA BRIEFs: King vs. Kovack Securities, Brian Kovack, Motion for Leave to File (US App Ct 11th Cir June 7, 2022)

AMICUS BRIEF: Brian Leggett vs. Wells Fargo, Brief of Amicus Curiae PIABA in Support of Appellees, Supreme Court of Fulton County (May 31, 2022)

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In the Media

SEC Has No Way to Track RIA Arbitration Stats, Unpaid Awards, By Melanie Waddell

ThinkAdvisor (June 29, 2023) - The Securities and Exchange Commission has no way to track the number of registered investment advisor arbitrations or unpaid arbitration awards, according to a just-…

Some RIAs have less client-friendly arbitration than brokerages: SEC, By Tobias Sallinger

Financial Planning (June 29, 2023) - Brokers subject to a less stringent duty than fiduciary advisors have a more customer-friendly arbitration process than some registered investment advisory firms…

SEC Report Raises Alarms About RIAs’ Use of Mandatory Arbitration Clauses by Miriam Rozen

AdvisorHub (June 28th) - A Securities and Exchange Commission report to Congress on Tuesday raised concerns about registered investment advisory firms’ use of mandatory arbitration clauses in retail…

'No Substitute' for In-Person? Industry Watchers Knock Remote Exams, By Sam Del Rowe

Financial Advisor IQ (June 16, 2023) - There is “no substitute” for on-site examinations, according to Sander Ressler, a compliance consultant who works with broker-dealer and registered investment…