Comments on FINRA Rulemaking

Notice of Filing Proposed Rule Change and Amendment No. 1 to Amend the Codes of Arbitration Procedure to Permit Arbitrators to Make Mid-case Referrals

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Date Received
Date Letter Type Release Number Commenter Name
Public Comment 34-64954 Barry D. Estell, Attorney, Mission, Kansas
Public Comment 34-64954 Seth E. Lipner, Professor of Law, Zicklin School of Business, Baruch College, CUNY member, Deutsch & Lipner, Garden City, NY
Public Comment 34-64954 Richard P. Ryder, Esquire, Securities Arbitration Commentator, Inc. (SAC), Maplewood,, New Jersey
Public Comment 34-64954 William A. Jacobson, Associate Clinical Professor of Law, Cornell Law School, and Director, Cornell Securities Law Clinic, Ithaca, New York
Public Comment 34-64954 Peter J. Mougey, President, Public Investors Arbitration Bar Association, Pensacola, Florida
Public Comment 34-62930 Richard P. Ryder, Esquire, Securities Arbitration Commentator, Inc., Maplewood, New Jersey
Public Comment 34-62930 Joelle Franc and Gary J. Pieples, Syracuse Consumer Law and Securities Arbitration Clinic, Syracuse University College of Law
Public Comment 34-62930 Rob Bleecher, Esquire, Pecht Associates, PC, Mechanicsburg, Pennsylvania
Public Comment 34-62930 William A. Jacobson, Associate Clinical Professor of Law, Cornell Law School, and Director, Cornell Securities Law Clinic, Ithaca, New York
Public Comment 34-62930 Dale Ledbetter, Ledbetter & Associates, P.A.
Public Comment 34-62930 Barry D. Estell, Esq., Attorney Representing Customers in FINRA Arbitration, Mission, Kansas
Public Comment 34-62930 Leonard Steiner, Steiner & Libo, Beverly Hills, California
Public Comment 34-62930 Richard A. Stephens, Esq., Attorney and FINRA Chairman, Boca Raton, Florida
Public Comment 34-62930 Richard Layne, Portland, Oregon
Public Comment 34-62930 Scott R. Shewan, President, Public Investors Arbitration Bar Association
Public Comment 34-62930 Theodore M. Davis, Esq., Attorney, Long Island City, New York

Last Reviewed or Updated: Jan. 12, 2026

File Number
SR-FINRA-2010-036
Release Number
34-64954
34-62930
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