PIABA Newsroom

COMMENT LETTER, Retirement Security Rule, Definition of an Investment Advice Fiduciary (January 2, 2024)
Retirement Security Rule: Definition of an Investment Advice Fiduciary and Related Exemptions Public Hearing (December 13, 2023)
COMMENT LETTER: Proposed Rule Change to Amend FINRA Rule 2210 (Communications with the Public) (December 15, 2023)
PRESS RELEASE - PIABA: New SEC Annual Report Validates Wronged Investors, RIA-Mandated Arbitration Must Go (December 5, 2023)
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In the Media

Lawmakers Add to Calls for Advisor Arbitration Reform, By Kenneth Corbin
Barron's (February 6, 2024) By Kenneth Corbin Democratic lawmakers are calling for an end to the use of mandatory arbitration proceedings to settle disputes between clients and financial advisors.…
Lawmakers Add to Calls for Advisor Arbitration Reform, By Kenneth Corbin
MSN via Barron's (February 6, 2024) By Kenneth Corbin Democratic lawmakers are calling for an end to the use of mandatory arbitration proceedings to settle disputes between clients and financial…
Lawmakers Reintroduce Bill Banning Forced Arbitration, By Patrick Donachie
WealthManagement (February 6, 2024) By Patrick Donachie The “Investor Choice Act” would prohibit b/ds and advisors from mandating client arbitration. Additionally, PIABA and other investor advocates…
Calls for Arbitration Reform on Capital Hill, By The Wealth Advisor
Wealth Advisor (February 6, 2024)  Legislators are intensifying their calls for the reform of arbitration processes involving disputes between clients and wealth advisors. This marks a significant…
Investor Advocate Groups Unite To End Forced Arbitration In RIA Biz, By Tracey Longo
Financial Advisor (February 2, 2024) By Tracey Longo Seven prominent investor advocacy groups have formed a coalition to turn up the heat on the Securities and Exchange Commission and Congress to…
U.S. investor advocates take aim at RIA arbitration, By James Langton
Advisor.ca (February 2, 2024) By James Langton Firms use forced arbitration to discourage clients from pursuing complaints. U.S. investor and consumer advocates are teaming up to escalate their…
Investor Groups Badger SEC to Curb RIAs’ Use of Forced Arbitration, By Glenn Koch
Financial Advisor IQ (February 2, 2024) By Glenn Koch The newly formed Investor Advocacy Coalition is calling on the Securities and Exchange Commission to review registered investment advisors’…
U.S. investor advocates take aim at RIA arbitration, By James Langton
Investment Executive (February 2, 2024) By James Langton Firms use forced arbitration to discourage clients from pursuing complaints. U.S. investor and consumer advocates are teaming up to escalate…
Congressional Bill Would Ban Mandatory Arbitration For Advisor, Broker Clients, By Tracey Longo
Financial Advisor (February 2, 2024) By Tracey Longo Legislation introduced this week would prohibit registered investment advisors, broker-dealers and securities dealers from using customer…
New Investor Advocacy Coalition Calls On SEC, Congress To Fix RIA Forced Arbitration Problems By Mondovisione
MondoVisione (February 2, 2024)  Formation Of Investor Advocacy Coalition Follows Increasing Complaints From Wronged Investors, Scathing SEC OIA Report That Found Rias In ‘Violation Of The Fiduciary…