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Pre-Dispute Arbitration:
Title IX Provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act


Submitted Comments

(Click here for meetings with SEC officials)
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)
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


Modified: 07/05/2013