Business Wire (April 27, 2021) - With No Guarantee of Even Zoom Hearings, Investor Cases Languish As Defendant Brokers and Firms Are Allowed to Exploit FINRA Delay to Their Benefit
In a letter sent…
PIABA Newsroom
In the Media
ThinkAdvisor (April 21, 2021) - What You Need to Know
The SEC and CFTC are to establish a digital asset working group under the Eliminate Barriers to Innovation Act.
The Senior Security Act…
JD SUPRA (April 21, 2021) - On April 15, 2021, the Public Investors Advocate Bar Association (“PIABA”) issued a statement supporting a bill called the Investor Choice Act of 2021. If enacted, this…
Financial Advisor (April 16, 2021) - A bill introduced yesterday would prohibit broker-dealers and advisors from making clients sign mandatory arbitration agreements.
The Investor Choice Act would…
JD Supra (March 18, 2021) - The Financial Industry Regulatory Authority (FINRA) has made significant changes to the arbitration process in response to the COVID-19 pandemic. On March 25, 2020, FINRA…
Dollars & Sense (March/April 2021) - The notion that making financial advisors freer to pursue their own self-interest is what’s best for workers and retirees must have even Adam Smith turning…
Financial Advisor, January 27, 2021 - The Financial Industry Regulatory Authority is investigating some brokers who took forgivable Paycheck Protection Program (PPP) loans and other aid for pandemic…
CrowdFund - January 23, 2021 - The North American Securities Administrators Association (NASAA) is distributing a letter sent to the Biden Administration asking the new President to “pause on the…
The National Law Review (November 24, 2020) -
A Securities and Exchange Commission (“SEC”) plan to create a registration exemption for certain finders has generated a mixed response. The nearly 90…
Financial Advisor (November 5, 2020) - David P. Meyer, the new president of the national trade group of lawyers who represent investors in fraud cases, is already advancing an ambitious agenda of pro…