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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)
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| 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
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