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

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Date Received
Date Letter Type Commenter Name
Public Comment Mignon McLemore, Assistant Chief Counsel, FINRA Dispute Resolution, Washington, District of Columbia
Public Comment Laurence S. Schultz, President, Public Investors Arbitration Bar Association
Public Comment William P. Torngren, Attorney, Sacramento, California
Public Comment Debra B. Hayes, Esquire, Attorney, Houston, Texas
Public Comment Stuart D. Meissner, Esq., New York, New York
Public Comment Harry J. Buckman, Jr., Sr. Vice President, Shrewsbury, New Jersey
Public Comment Jan Graham, Salt Lake City, Utah
Public Comment Joseph Fogel, Sherman Oaks, California
Public Comment Patricia Cowart, Chief Litigation Counsel, Wachovia Securities, LLC
Public Comment Abe Lampart, Law Offices of Abe Lampart, P.C.
Public Comment Al Van Kampen, Esq., Seattle, Washington
Public Comment Andrew L. Weinberg, Director and Senior Counsel, Deutsche Bank Securities Inc.
Public Comment Audrey Venezia, New York, New York
Public Comment Birgitta Siegel, Esq, Office of Clinical Legal Ed., College of Law, Syracuse University, Syracuse , New York
Public Comment Brad S. Karp, Paul, Weiss, Riaind, Wharton & Garrison LLP
Public Comment Bradford D. Kaufman, Chair, National Securities Litigation Group, Greenberg Traurig, P.A.
Public Comment Brett A. Rogers and Jill E. Steinberg, Rogers & Hardin
Public Comment Bryan T. Forman, Tyler, Texas
Public Comment Christian T. Kemnitz, Katten Muchin Rosenman, Chicago, Illinois
Public Comment Christopher M. Gibbons, Legal Intern and Lisa A. Catalano, Director, Securities Arbitration Clinic, St. John's School of Law, Queens, New York
Public Comment Craig Gordon, President, RBC Correspondent Services, a division of RBC Capital Markets Corporation
Public Comment Dayton P. Haigney, III, Investor Attorney, New York, New York
Public Comment Debra G. Speyer, Esq., Philadelphia, Pennsylvania
Public Comment H. Nicholas Berberian, Neal, Gerber & Eisenberg LLP
Public Comment Harry A. Jacobowitz, Esq., Data Base Manager, Securities Arbitration Commentator, Incorporated Managing Editor, Securities Awards Monthly, South Orange, New Jersey
Public Comment Harry T. Walters, Mannging Director, Deputy General Counsel, Citi Markets & Banking, Citigroup Global Markets, Inc.
Public Comment Jeffrey Kruske, Attorney, Overland Park, Kansas
Public Comment Jenice L. Malecki, Esq., Malecki Law, New York, New York
Public Comment 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
Public Comment Jody Forchheimer, Senior Vice President, Deputy General Counsel, FMR Corp. Legal Department, Fidelity Investments

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-FINRA-2007-021
Release Number
34-57497
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