PIABA Newsroom

AMICUS BRIEF: Broyles vs. Commonwealth, Case No. 3:10-CV-854, Amicus Curiae Brief of PIABA in Support of Appellants (July 14, 2017)
COMMENT LETTER: FINRA Regulatory Notice 17-20 – Proposed Amendments to Rules Governing Communications with the Public (June 29, 2017)
COMMENT LETTER: Engagement Initiative Comment on Potential Enhancements to Certain Engagement Programs (June 19, 2017)
COMMENT LETTER: SR‐FINRA‐2017‐009 - Proposed Rule Change Relating to Expediting List Selection in Arbitration (June 1, 2017)
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In the Media

FINRA may make it harder for brokers to erase past indiscretions, By Ann Marsh
FinancialPlanning (December 12, 2017) - Brokers may no longer be able to wipe years’ worth of disciplinary marks off their public BrokerCheck records, thanks to changes proposed by FINRA. The…
Finra's Proposed Ban On Expungements No Surprise, By Dan Jamieson
Financial Advisor (December 11, 2017) - This week, Finra proposed a rule that would prohibit brokers from removing customer complaints and certain arbitrations that are more than a year old. The…
Finra would have special arbitrators make expungement decisions, By Mark Schoeff, Jr.
InvestmentNews (December 8, 2017) - Regulator also seeks to set one-year limit from time a case closes to request a hearing Arbitrators specifically qualified to determine whether brokers should have…
FINRA Tightens Noose on Broker Expungement Process, By Jed Horowitz
AdvisorHUB (December 8, 2017) - The Financial Industry Regulatory Authority’s new proposal to amend rules regarding brokers’ ability to expunge customer complaints from regulatory and public records…
Financial regulator's conflicts of interest are a serious concern
The Hill (December 8, 2017) - Financial regulation often seems complicated, and the public tends not to care because we may lack context to grasp all of the issues at stake. Still, there is one issue…
A Hidden Danger Few Investors Understand, By Dan Solin
Huffington Post (December 5, 2017) - Over the years, I’ve written extensively on how to invest intelligently and responsibly, based on sound, peer-reviewed evidence. Together with many others, I’ve…
Finra needs to get serious about its pledge to protect investors
InvestmentNews (December 2, 2017) -- This is not the first time the regulator has been called out on the makeup of its board. The bylaws of the Financial Industry Regulatory Authority Inc. state that…
SEC Hires TIAA General Counsel In Midst Of TIAA Sales Investigations, By Tracey Longo
Financial Advisor (November 27, 2017) - It’s no secret that many of the brightest, most ambitious securities attorneys in the country use a coveted stint at the Securities and Exchange Commission to…
Searchable Bad Broker Database 'Long Overdue' But Will Face Scrutiny, By Melanie Waddell
ThinkAdvisor (November 27, 2017) - FINRA says it will help SEC with database, while head of PIABA says database only a Band-Aid for a ‘really serious problem’ SEC Chairman Jay Clayton is moving full…
Len Boselovic’s Heard off the Street: Is obscure Wall Street policeman really protecting investors?, By Len Boselovic
Pittsburgh Post-Gazette (November 20, 2017) - For a regulatory agency dedicated to protecting investors, the Financial Industry Regulatory Authority has some explaining to do. Thus sayeth a group of…