PIABA Newsroom

COMMENT LETTER: SR‐FINRA‐2016‐39 - Proposed Rule Change to Amend Rule 4512 (Customer Account Information) and Adopt FINRA Rule 2165 (Financial Exploitation of Specified Adults) (November 28, 2016)
PRESS RELEASE: FINRA Spent Millions of Dollars Hyping “Broken” BrokerCheck System Rather Than Fixing It (October 20, 2016)
REPORT: BrokerCheck – The Inequality of Investor Access To Information Remains Unabated – An Update To PIABA’s March 2014 Report (October 20, 2016)
COMMENT LETTER: SR‐FINRA‐2016‐033 - Proposed Rule Change Relating to Broadening Chairperson Eligibility in Arbitration (September 23, 2016)
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In the Media

Small Businesses Begin Filing Class Actions Against Equifax, By Amanda Bronstad
Daily Report (September 25, 2017) - Consumers aren’t the only ones suing over the Equifax data breach: Small businesses, including a law firm and a credit union, want to recoup financial losses tied…
Businesses Begin Filing Class Actions Against Equifax, By Amanda Bronstad
ThinkAdvisor (September 25, 2017) - Consumers aren’t the only ones suing over the Equifax data breach: Small businesses, including a law firm and a credit union, want to recoup financial losses tied…
Finra Pushes for Arbitrator Diversity
Barron's (September 22, 2017) - Finra is starting to attract a more diverse pool of arbitrator applicants, but increasing the corps’ diversity it’s looking like a long-term project, Financial…
Businesses Begin Filing Class Actions Against Equifax, By Amanda Bronstad
Law.com (September 22, 2017) - Consumers aren’t the only ones suing over the Equifax data breach: Small businesses, including a law firm and a credit union, want to recoup financial losses tied to…
FINRA diversifies arbitrator pool, with a long road ahead, By James Thorne
Finanical Planning (September 21, 2017) - FINRA is making progress toward its goal of having a less homogeneous pool of arbitrators, an effort that is likely to take many more years. Of the 945…
Equifax Breach Class Action Lawsuit Filed On Behalf Of Nation's 28 Million Small Businesses
PR Newswire (September 20, 2017) - ATLANTA -- The estimated 28 million small business operators in the U.S. face special risk of suffering multiple damages arising from the latest Equifax data breach…
Ten to Watch: Andrew Stoltmann, President-elect, PIABA, By Diana Britton
WealthManagement.com (September 13, 2017) - Andrew Stoltmann, president-elect of PIABA, is taking on Wall Street and the fiduciary duty. Andrew Stoltmann Age: 45 Position: Executive vice president…
Feds delay fiduciary rule until mid-2019: Could this be the death knell?, By Jared Bilski
CFO Daily News (August 31, 2017) - CFOs won’t have to worry about the controversial fiduciary rule changes for a while — if they even have to worry about those changes at all. That’s because the…
Client wins $433,000 through Finra arbitration claim, but will likely see no payment, By Bruce Kelly
InvestmentNews (August 21, 2017) - The claim against defunct broker-dealer EDI Financial Inc. highlights a growing problem of unpaid arbitration awards A client of a small broker-dealer that sold…
DOL seeks to delay fiduciary rule until July 2019, By Mark Schoeff Jr.
InvestmentNews (August 9, 2017) - Battle intensifies as Labor Department seeks to push off implementation until July 2019 Supporters of the Labor Department's fiduciary rule are calling an 18-month…