PIABA Newsroom

COMMENT LETTER: NASAA's Proposed Amendment to the Statement of Policy Regarding REITs (September 12, 2016)
COMMENT LETTER: SR‐FINRA‐2016‐029 - Rule Change Amending Procedure for Customer & Industry Disputes to Require All Parties to File and Serve Pleadings and Documents Through the FINRA DR’s Party Portal & Permit Mediation Parties to Use the Portal (September 7, 2016)
COMMENT LETTER: SR‐FINRA‐2016‐030 - Proposed Rule Change Amending Rule 12504 of the Code of Arbitration for Customer Disputes and Rule 13504 of the Code of Arbitration for Industry Disputes Relating to Motions to Dismiss in Arbitration (September 7, 2016)
COMMENT LETTER: SR‐FINRA‐2016‐032 - Proposed Rule Change Relating to FINRA Rule 2232 to Require Members to Disclose Additional Pricing Information on Retail Customer Confirmations Relating to Transactions in Fixed Income Securities (September 7, 2016)
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In the Media

Girard Bengali, APC Wins $1.8M FINRA Award
prLeap (July 25, 2017) - Los Angeles, California, July 24, 2017 - Hailed as a victory in the fight against financial elder abuse, Girard Bengali, APC obtained a FINRA arbitration award for over $1,…
Bank adviser wins nearly $1.7M from Citizens Securities in hiring dispute, By Margarita Correia
BankInvestmentConsultant (July 25, 2017) - A FINRA arbitration panel has ordered Citizens Securities to pay a former broker nearly $1.7 million for making misrepresentations when it recruited him…
Finra seeks to raise pressure on firms hiring rogue brokers, avoiding arbitration payments, By Mark Schoeff Jr.
InvestmentNews (July 19, 2017) - Board advances proposals to amend membership applications to allow the regulator to scrutinize troubled brokers, pending monetary awards The Finra board has advanced…
Supreme Court could put pressure on Finra class-action policy, By Mark Schoeff Jr.
InvestmentNews (July 7, 2017) - Finra may rethink its ban on class-action waivers in arbitration clauses, depending on whether the court sides with the Trump administration If the Supreme Court…
Other States Considering Their Own ‘Fiduciary Rules' After Nevada’s Becomes Law, By Michael Thrasher
WealthMangement.com (June 26, 2017) - Nevada was the first state to pass a fiduciary statute in the U.S. Other states are considering similar measures. Nevada state Sen. Aaron Ford said he’s been…
Finra engages in rulemaking by enforcement: financial industry groups, By Mark Schoeff, Jr.
InvestmentNews (June 21, 2017) - FSI and SIFMA criticize broker-dealer regulator for creating standards based on settlements Financial industry trade associations criticized Finra for using…
Don't roll over for this 401(k) and IRA ripoff, By Ken Fisher
USA Today (June 11, 2017) - Despite claims otherwise, the new much ballyhooed Department of Labor fiduciary rule won’t protect you from financial advisers who put themselves first. But you can,…
Finra CEO Robert Cook keeps low profile — for now, By Mark Schoeff, Jr.
InvestmentNews (June 10, 2017) - While some give him high marks for his willingness to listen, other say it's time he put what he's heard into action From the day he was named president and CEO of…
Investor protection rule will fight for Americans - we must fight for it, By Marnie Lambert Opinion Contributor
The Hill (June 6, 2017) - The first time you hear the term “fiduciary rule,” it sounds like some hopelessly complex and technical thing that only a lawyer or a policy geek could love. When you are…
Legal Risks Under the Fiduciary Rule
Barron's (June 1, 2017) - 'When the DOL’s fiduciary rule takes partial effect next Friday, advisors and broker-dealers need to be prepared for heightened legal risks, InvestmentNews writes. When the…