PIABA: BrokerCheck and the Expungement Process Are Broken. Moratorium Needed Now
on

By George H. Friedman, SAA Editor-in-Chief

On the eve of its annual meeting October 22 – 25, the Public Investors Advocate Bar Association released a study commissioned by the PIABA Foundation,

...Read More

Talking with PIABA’s Leaders: Issues in the Current Year and the Year Ahead
on

At the tail-end of June SAC brought together for a wide-ranging discussion the current and future Presidents of PIABA — Christine Lazaro and Samuel B.

...Read More

Post Image
More on FINRA’s Report on Unpaid Customer Awards. Sen. Warren Introduces Bill To Compel Implementation of One of the Ideas; PIABA Agrees
on

We continue here our analysis of FINRA’s recently-published Report, FINRA Perspectives on Customer Recovery, and share news that a Bill has been introduced in the Senate to require FINRA to implement one of the Report’s proposals.

...Read More

Post Image
PIABA Foundation Teams with AIE for First-Ever Investors Town Hall Meeting
on

The annual meeting of the Public Investors Arbitration Bar Association took place between Oct. 18 and 21 in San Diego. Following that event, on October 29,

...Read More

Post Image
Financial Industry Groups Sue To Stop DOL Fiduciary Rule Implementation
on

Just as we went to press, we learned that several financial industry groups have sued the Department of Labor in an effort to block implementation of its new fiduciary standard rule.

...Read More

Post Image
PIABA Decries Unpaid Arb Awards; Recovery Pool the Best Solution
on

On the same day, February 25, the Public Investors Arbitration Bar Association issued a Report and a News Release and held a press conference to publicize the problem of unpaid arbitration Awards.

...Read More

Read Our Recent Blog