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Comments on FINRA Rulemaking

Notice of Filing Proposed Rule Change and Amendment No. 1 to Amend the Codes of Arbitration Procedure to Permit Arbitrators to Make Mid-case Referrals

[Release No. 34-64954; File No. SR-FINRA-2010-036]


Sep. 12, 2011 Barry D. Estell, Attorney, Mission, Kansas
Sep. 8, 2011 Seth E. Lipner, Professor of Law, Zicklin School of Business, Baruch College, CUNY member, Deutsch & Lipner, Garden City, NY
Aug. 27, 2011 Richard P. Ryder, Esquire, Securities Arbitration Commentator, Inc. (SAC), Maplewood,, New Jersey
Aug. 22, 2011 William A. Jacobson, Associate Clinical Professor of Law, Cornell Law School, and Director, Cornell Securities Law Clinic, Ithaca, New York
Aug. 18, 2011 Peter J. Mougey, President, Public Investors Arbitration Bar Association, Pensacola, Florida

Notice of Filing of Proposed Rule Change to Amend the Codes of Arbitration Procedure to Permit Arbitrators to Make Mid-case Referrals

[Release No. 34-62930; File No. SR-FINRA-2010-036]


Jan. 16, 2011 Richard P. Ryder, Esquire, Securities Arbitration Commentator, Inc., Maplewood, New Jersey
Oct. 19, 2010 Joelle Franc and Gary J. Pieples, Syracuse Consumer Law and Securities Arbitration Clinic, Syracuse University College of Law
Oct. 14, 2010 Rob Bleecher, Esquire, Pecht Associates, PC, Mechanicsburg, Pennsylvania
Oct. 14, 2010 William A. Jacobson, Associate Clinical Professor of Law, Cornell Law School, and Director, Cornell Securities Law Clinic, Ithaca, New York
Oct. 13, 2010 Dale Ledbetter, Ledbetter & Associates, P.A.
Oct. 11, 2010 Leonard Steiner, Steiner & Libo, Beverly Hills, California
Oct. 11, 2010 Scott R. Shewan, President, Public Investors Arbitration Bar Association
Oct. 11, 2010 Richard Layne, Portland, Oregon
Oct. 11, 2010 Theodore M. Davis, Esq., Attorney, Long Island City, New York
Oct. 11, 2010 Richard A. Stephens, Esq., Attorney and FINRA Chairman, Boca Raton, Florida
Oct. 11, 2010 Barry D. Estell, Esq., Attorney Representing Customers in FINRA Arbitration, Mission, Kansas

 

http://www.sec.gov/comments/sr-finra-2010-036/finra2010036.shtml

Modified: 10/16/2014