PIABA Newsroom
In the Media
PRNewswire (October 20, 2016) -- 2.5 Years After PIABA Report Detailing BrokerCheck System's Flaws, No Action Has Been Taken to Provide Fuller Information to Investors; States Often Give Out More…
The Frankowski Firm (October 20, 2016) -- PIABA, the Public Investors Arbitration Bar Association, issued a new report stating that FINRA’s BrokerCheck, the primary resource the public uses to learn…
frankowskifirm.com (October 20, 2016) -- PIABA, the Public Investors Arbitration Bar Association, issued a new report stating that FINRA’s BrokerCheck, the primary resource the public uses to learn…
SmartBrief (InvestmentNews October 20, 2016) -- System doesn't include reasons for advisers' employment termination and other details public needs before deciding who to hire, a new report foundThe…
Bloomberg BNA (October 19, 2016) -- Oct. 18 — Michigan attorney Tracy Allen has been a FINRA arbitrator for nearly 30 years and none of the dozens of panels on which she’s served has included anyone…
WealthManagement.com (October 19, 2016) - Many wealth managers have spent years, if not decades, of their lives crafting a distinguished image of their practice. Words like “planning,” “trust,” “…
OnWallStreet (September 28, 2016) -- Using new, big data investigative capabilities to identify broker-dealer misconduct, the SEC fined UBS $15 million for systematically failing to train its…
The Street (August 26, 2016) -- Even if a victimized investor wins an award against a shady investment firm, she might not be able to collect. Here's how to fix this pernicious problem.It's hard to…
FinancialPlanning (August 26, 2016) -- Thirteen large firms, including AssetMark, a firm run by Charles Goldman, a former member of the board of directors of the CFP Board, are paying the price for…
RIABiz (August 25, 2016 3:41 pm CDT) -- Brooke’s Note: Will history be kind to Richard Ketchum for the way he spent his seven years as head of FINRA — complete with a lovely oil painting him hung in…