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Comments on FINRA Rulemaking

Notice of Filing of Proposed Rule Change Amendments to the Discovery Guide and Rules 12506 and 12508 of the Code of Arbitration Procedure for Customer Disputes

[Release No. 34-62584; File No. SR-FINRA-2010-035]

Feb. 8, 2011 Margo A. Hassan, Assistant Chief Counsel, FINRA Dispute Resolution
Nov. 14, 2010 Charles Giger, M.D., Elmhurst, Illinois
Nov. 6, 2010 Kathy A. Besmer, Las Vegas, Nevada
Sep. 24, 2010 Matthew Farley, Drinker Biddle & Reath LLP
Sep. 24, 2010 Scott C. Ilgenfritz, Johnson, Pope, Bokor, Ruppel & Burns, LLP
Sep. 16, 2010 Gail E. Boliver, Attorney, Marshalltown, Iowa
Sep. 10, 2010 Patricia Cowart, Chair, SIFMA Arbitration Committee
Aug. 27, 2010 Keith L. Griffin, Esq., Griffin Law Firm, LLC, Indianapolis, Indiana
Aug. 27, 2010 Royal B. Lea, Esquire, San Antonio, Texas
Aug. 26, 2010 Richard M. Layne, Portland, Oregon
Aug. 25, 2010 Eliot Goldstein, Esq., Law Offices of Eliot Goldstein, LLP, Cabin John, Maryland
Aug. 25, 2010 Theodore M. Davis, Esq., Attorney, Long Island City, New York
Aug. 25, 2010 John Cronin, Vermont Securities Director and Chair, NASAA Arbitration Project Group, Montpelier, Vermont
Aug. 24, 2010 S. Lawrence Polk, Sutherland Asbill & Brennan LLP
Aug. 24, 2010 William A. Jacobson, Associate Clinical Professor, Cornell Law School, and Director, Cornell Securities Law Clinic, Ithaca, New York
Aug. 24, 2010 Bradford D. Kaufman, Esq., Greenberg Traurig, West Palm Beach, Florida
Aug. 24, 2010 Scott R. Shewan, President, Public Investors Arbitration Bar Association
Aug. 24, 2010 Rob Bleecher, Esquire, Attorney, Mechanicsburg, Pennsylvania
Aug. 24, 2010 Peter J. Mougey, Securities Attorney and PIABA Member, Pensacola, Florida
Aug. 24, 2010 Richard L. Martens, Esq., Jason S. Haselkorn, Esq., Patricia M. Christiansen, Esq., Charles L. Pickett, Esq., Casey Ciklin Lubitz Martens & O'Connell
Aug. 24, 2010 Kelly J. Moynihan, Keesal, Young & Logan
Aug. 24, 2010 Paula D. Shaffner, Stradley Ronon Stevens & Young, LLP
Aug. 24, 2010 Lee H. Schillinger, Hollywood, Florida
Aug. 24, 2010 Robert M. Rudnicki, Vice President, Director of Litigation, Authorized House Counsel, Raymond James Financial, Inc.
Aug. 24, 2010 Richard A. Lewins, Esq., Dallas, Texas
Aug. 24, 2010 Barry D. Estell, Esq., Attorney Representing Customers in FINRA Arbitration, Mission, Kansas
Aug. 24, 2010 Michael N. Ungar, Kenneth A. Bravo, Joseph S. Simms, and Jill Y. Coen, Ulmer & Berne LLP
Aug. 24, 2010 Dominick F. Evangelista; Bressler, Amery & Ross, P.C.
Aug. 24, 2010 Stanley Yorsz, Esquire, Buchanan Ingersoll & Rooney PC
Aug. 24, 2010 Brian N. Smiley, Smiley Bishop & Porter, LLP, Atlanta, Guam
Aug. 24, 2010 Jonathan Kord Lagemann, Attorney
Aug. 24, 2010 Raymond W. Henney, Honigman Miller Schwarlz and Cohn LLP
Aug. 24, 2010 Carrie L. Chelko, Esquire, Deputy General Counsel, Janney Montgomery Scott LLC
Aug. 24, 2010 Frances Ruby, Austin, Texas
Aug. 24, 2010 Jenice L. Malecki, Esq., Malecki Law, New York, New York
Aug. 24, 2010 Jason R. Doss, Esquire, Attorney, Marietta, Georgia
Aug. 24, 2010 G. Kirk Ellis, Retiured Corporate and Securities Lawyer, California
Aug. 24, 2010 Michael S. Edmiston, Law Offices of Jonathan W. Evans & Associates, Studio City, California
Aug. 24, 2010 Mark James, Dallas, Texas
Aug. 24, 2010 Joseph Terry, Richardson, Texas
Aug. 24, 2010 Alan S. Brodherson, Esquire, New York, New York
Aug. 23, 2010 Herb Pounds, Jr., PIABA, San Antonio, Texas
Aug. 23, 2010 Eric G. Wallis, Reed Smith LLP
Aug. 23, 2010 Theodore A. Krebsbach, Esquire, Partner, Krebsbach and Snyder, P.C., New York, New York
Aug. 23, 2010 David P. Neuman, Stoltmann Law Offices, P.C., Chicago, Illinois
Aug. 23, 2010 Stephen Krosschell, Goodman & Nekvasil, P.A.
Aug. 23, 2010 John W. Shaw, Berkowitz Oliver Williams Shaw & Eisenbrandt LLP, Kansas City, Missouri
Aug. 22, 2010 Steven J. Gard, Esquire, Attorney, Jacksonville, Florida
Aug. 20, 2010 Thomas R. Cox, Miller, Canfield, Paddock and Stone, P.L.C.
Aug. 20, 2010 Ryan K. Bakhtiari, Aidikoff, Uhl and Bakhtiari, Beverly Hills, California
Aug. 20, 2010 Diane Nygaard, Securities Attorney, Overland Park, Kansas
Aug. 20, 2010 Steven B. Caruso, Maddox Hargett & Caruso, P.C., New York, New York
Aug. 19, 2010 Steven M. McCauley, Esq., Lexington, Kentucky
Aug. 19, 2010 Robert C. Port, Esq., Atlanta, Georgia
Aug. 16, 2010 Leonard Steiner, Attorney and PIABA member, Beverly Hills, California
Aug. 15, 2010 Seth E. Lipner, Prof. of Law, Baruch College, Member, Deutsch & Lipner, New York, New York
Aug. 6, 2010 Richard A. Stephens, Esq., Boca Raton, Florida

Modified: 04/26/2011