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Pre-Dispute Arbitration:
Title IX Provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act
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(Click here for meetings with SEC officials)
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| Feb. 4, 2016 | David D. Noble, Noble Foundation, Wooster, Ohio |
| Jun. 4, 2015 | Kevin Carroll, Managing Director & Associate General Counsel, SIFMA |
| Nov. 14, 2014 | Timothy Heilig, Palo Alto, California |
| May 3, 2013 | A. Heath Abshure, President, North American Securities Administrators Association |
| Feb. 12, 2013 | William F. Galvin, Secretary of the Commonwealth, Commonwealth of Massachusetts |
| Mar. 28, 2012 | Constantine N. Katsoris, Chairman, Securities Industry Conference on Arbitration |
| Jun. 9, 2011 | Jill I. Gross, Professor of Law, Director of Legal Skills, Pace Law School |
| Feb. 22, 2011 | Irene Rutledge, San Jose, California |
| Feb. 8, 2011 | Cliff Palefsky, National Employment Lawyers Association |
| Jan. 8, 2011 | Carter Greenbaum |
| Dec. 3, 2010 | Jeffrey R. Sonn, Esq., Sonn & Erez, PLC |
| Dec. 3, 2010 | Peter J. Mougey, 2011 PIABA President, Pensacola, Florida |
| Aug. 30, 2010 | David M Sobel, Esq, Abel/Noser Corp, NY, New York |
| Aug. 25, 2010 | Richard M Layne, Portland, Oregon |
| Aug. 24, 2010 | Kurt Arbuckle |
| Aug. 23, 2010 | Z. Jane Riley, Littleton, Colorado |
| Aug. 20, 2010 | Diane Nygaard, Esq |
| Aug. 18, 2010 | Melinda Steuer, Attorney, Sacramento, California |
| Aug. 18, 2010 | Tim Canning, Law Offices of Timothy A. Canning, Arcata, California |
| Aug. 13, 2010 | James B. Eichberg, CPA, Arbitrator/Mediator FINRA, NFA, Denver, Colorado |
| Aug. 6, 2010 | M. K., Esq., California |
| Jul. 30, 2010 | Barry D. Estell, Esq., Attorney Representing Customers in FINRA Arbitration, Mission, Kansas |
| Jul. 27, 2010 | Bruce D. Oakes, Securities Arbitration Attorney, St. Louis, Missouri |
Meetings with SEC Officials
(Click here for submitted comments from the public)
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| Jan. 14, 2016 | Memorandum from the Division of Trading and Markets regarding a January 14, 2016, meeting with a representative of Elkins Kalt LLP |
| Mar. 26, 2015 | Memorandum from the Division of Trading and Markets regarding a March 26, 2015, meeting with representatives of the Public Investors Arbitration Bar Association relating to section 921 of the Dodd-Frank Act |
| Jul. 3, 2013 | Memorandum from the Division of Trading and Markets regarding an article submitted by George Friedman |
| Jul. 3, 2013 | Memorandum from the Division of Trading and Markets regarding a June 20, 2013, meeting with Professor Barbara Black |
| Sep. 14, 2011 | Memorandum from the Division of Trading & Markets regarding a September 10, 2011 meeting with Cliff Palefsky and Michael Rubin |
| Apr. 4, 2011 | Memorandum from the Division of Trading & Markets regarding an April 4, 2011, telephonic meeting with a representative of McGuinn, Hillsman & Palefsky |
http://www.sec.gov/comments/df-title-ix/pre-dispute-arbitration/pre-dispute-arbitration.shtml
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