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Orderly Liquidation of Covered Broker-Dealers:
Title II Provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act


Jan. 7, 2013 Lyn Perlmuth, Director, Fixed Income Forum, Credit Roundtable
Mar. 26, 2012 Curtis Sloan, Market Madness, Long Beach, Washington
Aug. 10, 2011 John R. Scott, General Public Investor with an IRA and 401K, Cave Creek, Arizona
Apr. 5, 2011 Frances Sargent, Centennial, Colorado
Mar. 24, 2011 Erika Pomerantz
Jan. 20, 2011 Darrell K. Campbell, MBA, Private Investor, Pharmacist, Seattle, Washington
Oct. 18, 2010 Donald M. Feferman, Esquire, Corpus Christi, Texas
Oct. 14, 2010 Denis Ryskamp, Dayton, Ohio
Oct. 7, 2010 Geary I. McClain, Lebanon, Pennsylvania
Oct. 1, 2010 Robert O.L. Lynn, Financial services consultant, New Jersey
Sep. 18, 2010 Craig Slaughter
Sep. 12, 2010 Hassan Nasori Tehrani, Markets Section Chair, Association of Professional Accountants / Markets Section Chair, Association of Professional Accountants /or/ Markets Section Chair, Association of Professional Accountants /or/ markets section chair assoction of professional Accountants/or/CEO,Acme Widget Company, Los Gatos, California
Sep. 12, 2010 Hassan Nasori Tehrani, Markets Section Chair, Association of Professional Accountants / Markets Section Chair, Association of Professional Accountants /or/ Markets Section Chair, Association of Professional Accountants /or/ markets section chair assoction of professional Accountants/or/CEO,Acme Widget Company, Los Gatos, California
Sep. 9, 2010 Stephen Ackerman, Bradenton, Florida
Aug. 31, 2010 Roberta E. Mauch
Aug. 29, 2010 Joseph A Centineo, Bel Air , Maryland
Aug. 27, 2010 M Turner, Individual Retail Investor, Houston, Texas
Aug. 18, 2010 marcos f sencil, compliance/participation, new york, New York
Aug. 17, 2010 Barry D. Estell, Esq., Attorney Representing Customers in FINRA Arbitration, Mission, Kansas
Aug. 8, 2010 G. Cramm, Canada
Aug. 4, 2010 Casey Benict
Aug. 2, 2010 George
Aug. 1, 2010 Dr. John W. Nemeth, Nemeth Financial Services. DDS., ADA, CFP, Ringwood, New Jersey
Jul. 28, 2010 Robin McLeish, Virginia Beach, Virginia
Jul. 27, 2010 Lewis E. Huthison, Knoxville, Tennessee

 

http://www.sec.gov/comments/df-title-ii/bd-liquidation/bd-liquidation.shtml


Modified: 10/16/2014