SEC Seal Home | Jobs | Fast Answers | Site Map | Search
U.S. Securities and Exchange Commission


  About the SEC

  Filings & Forms

  Regulatory Actions


  Staff Interps

  Investor Info

  News & Statements

  Litigation

  ALJ

  Information for...

  Divisions


Comments on FINRA Rulemaking

Notice of Filing of Proposed Rule Change and Amendment No. 1 Relating to Amendments to the Code of Arbitration Procedure for Customer Disputes and the Code of Arbitration Procedure for Industry Disputes to Address Motions to Dismiss and to Amend the Eligibility Rule Related to Dismissals

(Release No. 34-57497; File No. SR-FINRA-2007-021)


Sep. 15, 2008 Mignon McLemore, Assistant Chief Counsel, FINRA Dispute Resolution, Washington, District of Columbia
Apr. 25, 2008 Laurence S. Schultz, President, Public Investors Arbitration Bar Association
Apr. 16, 2008 William P. Torngren, Attorney, Sacramento, California
Apr. 15, 2008 Debra B. Hayes, Esquire, Attorney, Houston, Texas
Apr. 12, 2008 Stuart D. Meissner, Esq., New York, New York
Apr. 11, 2008 Patricia Cowart, Chief Litigation Counsel, Wachovia Securities, LLC
Apr. 11, 2008 Jan Graham, Salt Lake City, Utah
Apr. 11, 2008 Harry J. Buckman, Jr., Sr. Vice President, Shrewsbury, New Jersey
Apr. 11, 2008 Joseph Fogel, Sherman Oaks, California
Apr. 10, 2008 Debra G. Speyer, Esq., Philadelphia, Pennsylvania
Apr. 10, 2008 Robert S. Banks, Jr., Banks Law Office, P.C., Portland, Oregon
Apr. 10, 2008 Mark J. Astarita, Esq., Attorney, Verona, New Jersey
Apr. 10, 2008 Abe Lampart, Law Offices of Abe Lampart, P.C.
Apr. 10, 2008 Stephen Krosschell
Apr. 10, 2008 Jenice L. Malecki, Esq., Malecki Law, New York, New York
Apr. 10, 2008 Harry A. Jacobowitz, Esq., Data Base Manager, Securities Arbitration Commentator, Incorporated Managing Editor, Securities Awards Monthly, South Orange, New Jersey
Apr. 10, 2008 Andrew L. Weinberg, Director and Senior Counsel, Deutsche Bank Securities Inc.
Apr. 10, 2008 Brad S. Karp, Paul, Weiss, Riaind, Wharton & Garrison LLP
Apr. 10, 2008 Robert J. Anello, Morvillo, Abramowitz, Grand, Iason, Anello & Bohrer, P. C.
Apr. 10, 2008 Dayton P. Haigney, III, Investor Attorney, New York, New York
Apr. 10, 2008 John S. Burke, Higgins Burke, P.C., St. Charles, Illinois
Apr. 10, 2008 Scot Bernstein
Apr. 10, 2008 Christian T. Kemnitz, Katten Muchin Rosenman, Chicago, Illinois
Apr. 10, 2008 Peter R. Boutin, Keesal, Young & Logan
Apr. 10, 2008 Tim Canning, Law Offices of Timothy A. Canning, Arcata, California
Apr. 10, 2008 Bradford D. Kaufman, Chair, National Securities Litigation Group, Greenberg Traurig, P.A.
Apr. 10, 2008 William A. Jacobson, Esq., Associate Clinical Professor, Director, Cornell Securities Law Clinic, Cornell Law School
Apr. 10, 2008 Craig Gordon, President, RBC Correspondent Services, a division of RBC Capital Markets Corporation
Apr. 10, 2008 Harry T. Walters, Mannging Director, Deputy General Counsel, Citi Markets & Banking, Citigroup Global Markets, Inc.
Apr. 10, 2008 Thomas V. Dulcich, Schwabe, Williamson & Wyatt
Apr. 10, 2008 John Taft, Co-Chairman, Head of US Wealth Management, RBC Capital Markets Corporation
Apr. 10, 2008 Jeffrey Kruske, Attorney, Overland Park, Kansas
Apr. 10, 2008 Brett A. Rogers and Jill E. Steinberg, Rogers & Hardin
Apr. 10, 2008 Birgitta Siegel, Esq, Office of Clinical Legal Ed., College of Law, Syracuse University, Syracuse , New York
Apr. 10, 2008 Rodney Acker, Fulbright & Jaworski L.L.P
Apr. 10, 2008 Bryan T. Forman, Tyler, Texas
Apr. 10, 2008 Joe Soraghan, Principal, Danna McKitrick, P.C.
Apr. 10, 2008 Mark A. Tepper, Esquire, President, Mark A. Tepper, P.A., Fort Lauderdale, Florida
Apr. 10, 2008 Thomas P. Willcutts, Esq., Willcutts Law Group, LLC, Hartford, Connecticut
Apr. 10, 2008 Michael R. Weissmann, Bingham McCutchen LLP
Apr. 10, 2008 Jill I. Gross, Associate Professor of Law, Director, Pace Investor Rights Clinic, Pace University School of Law; Barbara Black, Charles Hartsock Professor of Law, Director, Corporate Law Center, University of Cincinnati College of Law; and Teresa Milano, Student Intern, Pace Investor Rights Clinic, White Plains, New York
Apr. 10, 2008 Jody Forchheimer, Senior Vice President, Deputy General Counsel, FMR Corp. Legal Department, Fidelity Investments
Apr. 10, 2008 Michael N. Ungar and Kenneth A. Bravo, Ulmer & Berne LLP
Apr. 10, 2008 H. Nicholas Berberian, Neal, Gerber & Eisenberg LLP
Apr. 10, 2008 Audrey Venezia, New York, New York
Apr. 10, 2008 John W. Shaw, Partner, Berkowitz, Oliver, Williams, Shaw Eisenbrandt, Kansas City, Missouri
Apr. 10, 2008 Christopher M. Gibbons, Legal Intern and Lisa A. Catalano, Director, Securities Arbitration Clinic, St. John's School of Law, Queens, New York
Apr. 10, 2008 Peter J. Mougey, Beggs & Lane
Apr. 10, 2008 John V. McDermott, Holme Roberts Owen LLP, Denver, Colorado
Apr. 10, 2008 Thomas C. Wagner, Esquire, Ohio Bar Association, PIABA, Cleveland Bar Association, Partner of Van Deusen Wagner, LLC, Cleveland, Ohio
Apr. 10, 2008 Rob Bleecher, Esquire, Mechanicsburg, Pennsylvania
Apr. 10, 2008 Pearl Zuchlewski, Esq., Partner, Kraus Zuchlewski LLP, New York, New York
Apr. 10, 2008 Lawrence R. Gelber, Esq., Attorney at Law, Brooklyn, New York
Apr. 10, 2008 Theodore M. Davis, Attorney, Brookyln, New York
Apr. 10, 2008 Al Van Kampen, Esq., Seattle, Washington
Apr. 9, 2008 Joel E. Davidson, Davidson & Grannum, LLP, Orangeburg, New York
Apr. 9, 2008 Matthew Farley, Esq., Drinker Biddle & Reath LLP, New York, New York
Apr. 9, 2008 Carl J. Carlson, Carlson & Dennett, P.S., Seattle, Washington
Apr. 9, 2008 Michael G. Shannon, Thelen
Apr. 9, 2008 Brian F. Amery, Esq., Bressler, Amery Ross, P.C., New York, New York
Apr. 9, 2008 Alan F. Hartman, CLU, ChFC, Legacy Partners of Georgia
Apr. 9, 2008 Herb Pounds, Jr., Investor Attorney, San Antonio, Texas
Apr. 9, 2008 Richard M. Layne, Esq, Portland, Oregon
Apr. 9, 2008 Andrew J. Stoltmann, Chicago, Illinois
Apr. 9, 2008 Frederick S. Schrils, GrayRobinson
Apr. 9, 2008 Jonathan Kord Lagemann
Apr. 9, 2008 Anne T. Cooney, Managing Director, Morgan Stanley
Apr. 9, 2008 Joseph F. Myers, Esquire, CPA, Covington, Louisiana
Apr. 9, 2008 Richard J. Babnick, Jr., Partner, Sichenzia Ross Friedman Ference LLP, New York, New York
Apr. 9, 2008 Robert N Rapp, Partner, Calfee, Halter Griswold LLP, Cleveland, Ohio
Apr. 9, 2008 Bradley R. Stark, Esquire, Adjunct Professor of Finance, Florida International University, Miami, Florida
Apr. 9, 2008 Dickenson Murphy Rex and Sloan
Apr. 9, 2008 Eric G. Walls, Reed Smith LLP
Apr. 9, 2008 A. Inge Selden III, Maynard Cooper & Gale PC
Apr. 9, 2008 Randall R. Heiner, attorney, Salt Lake City, Utah
Apr. 9, 2008 Honigman Miller Schwartz and Cohn LLP
Apr. 9, 2008 Theodore A. Krebsbach, Krebsbach & Snyder
Apr. 9, 2008 Andrew Dale Ledbetter, Fort Lauderdale, Florida
Apr. 9, 2008 Jonathan Schwartz, Esq., Los Angeles, California
Apr. 9, 2008 John E. Lawlor, Esq., Mineola, New York
Apr. 9, 2008 Vincent J. Imbesi, The Avelino Law Firm, Columbia Club, New York, New York
Apr. 8, 2008 Kevin A. Carreno, Tampa, Florida
Apr. 8, 2008 Jonathan W. Evans, Esq., Studio City, California
Apr. 8, 2008 Robert C. Port, Esquire, Atlanta, Georgia
Apr. 8, 2008 Barry D. Estell, Mission, Kansas
Apr. 8, 2008 Erin Linehan, Vice President, Associate Corporate Counsel, Raymond James Financial, Inc.
Apr. 7, 2008 Curt H. Mueller, Esq., Vice President nd Associate General Counsel, Charles Schwab & Co., Inc.
Apr. 7, 2008 Edward G. Turan, Chair, SIFMA Arbitration Committee and Martha E. Solinger, Chair, SIFMA Litigation Advisory Committee
Apr. 4, 2008 David P. Neuman, Stoltmann Law Offices, P.C., Chicago, Illinois
Apr. 3, 2008 W. Scott Greco, Greco & Greco, P.C
Apr. 3, 2008 Alan S. Brodherson, New York, New York
Apr. 1, 2008 Scott R. Shewan, Born, Pape & Shewan LLP, Clovis, California
Apr. 1, 2008 Keith L. Griffin, Esquire, Maddox Hargett Caruso, PC, Fishers, Indiana
Mar. 31, 2008 J. Pat Sadler, Investor Attorney, Atlanta, Georgia
Mar. 27, 2008 Jay Salamon, Attorney, Hermann, Cahn and Schneider LLP, Cleveland, Ohio
Mar. 27, 2008 Thomas A. Hargett, Esq., Fishers, Indiana
Mar. 26, 2008 Brian N. Smiley, Esq., Partner, Smiley Bishop Porter LLP, Atlanta, Georgia
Mar. 26, 2008 Jeffrey Sonn, Esq., Sonn Erez, PLC, Fort Lauderdale, Florida
Mar. 26, 2008 David Harrison, Beverly Hills, California
Mar. 25, 2008 Robert A. Uhl, Esquire, Beverly Hills, California
Mar. 24, 2008 Noah H. Simpson, Partner, Simpson Woolley, LLP, Dallas, Texas
Mar. 24, 2008 Sam Edwards, Houston, Texas
Mar. 24, 2008 Howard Rosenfield, Attorney, Farmington, Connecticut
Mar. 24, 2008 Richard A. Lewins, Dallas, Texas
Mar. 24, 2008 John J. Miller, Attorney, Swanson Midgley, LLC, Kansas City, Missouri
Mar. 24, 2008 Robert W. Goehring, Esquire, Pittsburgh, Pennsylvania
Mar. 24, 2008 Mark E. Maddox, Attorney, Maddox Hargett Caruso, P.C., Fishers, Indiana
Mar. 24, 2008 Ryan K. Bakhtiari, Aidikoff, Uhl and Bakhtiari, Beverly Hills, California
Mar. 23, 2008 Steve A Buchwalter, Attorney, Encino, California
Mar. 22, 2008 Gail E. Boliver, Marshalltown, Iowa
Mar. 21, 2008 Charles W. Austin, Jr., Esq., Richmond, Virginia
Mar. 21, 2008 Philip M. Aidikoff, Esq., Beverly Hills, California
Mar. 20, 2008 Steven B. Caruso, Maddox Hargett Caruso, P.C., New York, New York
Mar. 20, 2008 Steven J. Gard, Gard Law Firm
Mar. 18, 2008 Laurence S. Schultz, Public Investors Arbitration Bar Association
Mar. 18, 2008 Leonard Steiner, Lawyer, Beverly Hills, California
Mar. 18, 2008 Seth E. Lipner, Professor of Law, Zicklin School of Business, Baruch College, CUNY
Feb. 29, 2008 Michael A. Thurman, Partner, LOEB & LOEB LLP
Dec. 10, 2007 Will Struyk
Nov. 4, 2007 Joseph C. Korsak

 

http://www.sec.gov/comments/sr-finra-2007-021/finra2007021.shtml

Modified: 10/16/2014