SEC Seal Home | Jobs | Fast Answers | Site Map | Search
U.S. Securities and Exchange Commission


  About the SEC

  Filings & Forms

  Regulatory Actions


  Staff Interps

  Investor Info

  News & Statements

  Litigation

  ALJ

  Information for...

  Divisions


Comments on FINRA Rulemaking

Notice of Filing of Proposed Rule Change Relating to Amendments to the Panel Composition Rule, and Related Rules, of the Code of Arbitration Procedure for Customer Disputes

[Release No. 34-63250; File No. SR-FINRA-2010-053]


Dec. 10, 2010 Leslie Van Buskirk, Chair, NASAA Arbitration Project Group, North American Securities Administrators Association, Inc.
Dec. 9, 2010 Gary J. Pieples, Esq., Syracuse University College of Law, Securities Arbitration & Consumer Law Clinic, Syracuse, New York
Dec. 6, 2010 Joseph C. Peiffer, New Orleans, Louisiana
Dec. 6, 2010 Nicholas J. Guiliano, Esquire, Philadelphia, Pennsylvania
Dec. 6, 2010 Barbara B. Hanemann, Memphis, Tennessee
Dec. 6, 2010 Martin A. Grusin, Attorney, Memphis, Tennessee
Dec. 4, 2010 Sara F. Byrd, Knoxville, Tennessee
Dec. 4, 2010 Steven M. McCauley, Esq., Lexington, Kentucky
Dec. 3, 2010 Al Van Kampen, Esquire, Rohde Van Kampen PLLC, Seattle, Washington
Dec. 3, 2010 Austin Smith, Bend, Oregon
Dec. 3, 2010 Edward L. Wampold
Dec. 3, 2010 Sam Edwards, Attorney, Houston, Texas
Dec. 3, 2010 Shustak Frost and Partners, P.C., San Diego, California
Dec. 3, 2010 David T. DeBerry, Las Vegas, Nevada
Dec. 3, 2010 Theodore G. Eppenstein, Esq. , Eppenstein and Eppenstein, PLLC, New York, New York
Dec. 3, 2010 Lisa A. Catalano, Director, Associate Professor of Clinical Legal Education, and Christine Lazaro, Supervising Attorney, Securities Arbitration Clinic, St. John's Law School, Queens, New York
Dec. 3, 2010 Rafael E. Lugo, Attorney At Law, San Juan, Puerto Rico
Dec. 3, 2010 Troy D. Stubbs, CEO, Intermodal Sales Corporation, Memphis, Tennessee
Dec. 3, 2010 Peter J. Mougey, President, Public Investors Arbitration Bar Association, Norman, Oklahoma
Dec. 3, 2010 Kirk Reasonover, Attorney, New Orleans, Louisiana
Dec. 3, 2010 Charles C. Mihalek, Esquire, Charles C. Mihalek, P.S.C., Lexington, Kentucky
Dec. 3, 2010 Rob Bleecher, Esquire, Mechanicsburg
Dec. 3, 2010 Howard Rosenfield, Attorney, Farmington, Connecticut
Dec. 3, 2010 Scott C. Ilgenfritz, Esq., Attorney, Tampa, Florida
Dec. 3, 2010 Laura Dunning
Dec. 3, 2010 John Miller, Member, Swanson Midgley, LLC, Kansas City, Missouri
Dec. 3, 2010 John Lox
Dec. 3, 2010 Stephen Krosschell, Goodman & Nekvasil, P.A., Clearwater, Florida
Dec. 3, 2010 Randall Pitts, Birmingham, Alabama
Dec. 3, 2010 Page A. Poerschke, Birmingham, Alabama
Dec. 3, 2010 Deborah Howard, Memphis, Tennessee
Dec. 3, 2010 Scott T. Beall, Attorney, Memphis, Tennessee
Dec. 3, 2010 Melinda Steuer, Attorney, Sacramento, California
Dec. 3, 2010 Cary S. Lapidus, Law Offices of Cary S. Lapidus, San Francisco, California
Dec. 3, 2010 Kevin G. Diamond, JD, CPA, PIABA, Boston , Massachusetts
Dec. 3, 2010 Jenice L. Malecki, Esq., Malecki Law, New York, New York
Dec. 3, 2010 David P. Meyer, Esq., David P. Meyer Associates Co., LPA, Columbus, Ohio
Dec. 3, 2010 Frederick W. Rosenberg, JD, South Orange, New Jersey
Dec. 3, 2010 William A. Jacobson, Associate Clinical Professor of Law, Cornell Law School, and Director, Cornell Securities Law Clinic, Ithaca, New York
Dec. 3, 2010 Barbara B. Lapides, attorney, Memphis, Tennessee
Dec. 3, 2010 Jonathan D. Berg, Esq., Lagemann Law Offices, New York, New York
Dec. 3, 2010 Connie J. Becker, Ledbetter Associates, PA, Fort Lauderdale, Florida
Dec. 3, 2010 Pete Tashie, Germantown, Tennessee
Dec. 3, 2010 Barbara Black, University of Cincinnati College of Law, and Jill Gross, Pace University School of Law
Dec. 3, 2010 Jason R Doss, Attorney, Marietta, Georgia
Dec. 3, 2010 Patricia Cowart, Chair, SIFMA Arbitration Committee
Dec. 3, 2010 Robert L. Sheppard, Assistant Professor , USC, North Hollywood, California
Dec. 2, 2010 Joelle Franc and Gary Pieples, Syracuse Consumer Law and Securities Arbitration Clinic, Syracuse, New York
Dec. 2, 2010 Richard A Lewins, Esq., Dallas, Texas
Dec. 2, 2010 Joseph Fogel, Founder, StockBrokerLawyer.com, Los Angeles, California
Dec. 2, 2010 Steven Samson, Attorney at Law, Evanston, Illinois
Dec. 2, 2010 Susan R. Healy, Esq., Vernon Healy, Attorneys at Law, Naples, Florida
Dec. 1, 2010 Larry W. Meyers, Hot Springs, Arkansas
Dec. 1, 2010 Peter J. Mougey, Attorney, Levin, Papantonio, Thomas, Mitchell, Rafferty, Proctor, P.A., Pensacola, Florida
Dec. 1, 2010 Michael L. Offerle, Lakeland, Tennessee
Dec. 1, 2010 Timothy C. Karen, Attorney, Del Mar, California
Dec. 1, 2010 William P. Torngren, Law Offices of William P. Torngren, Sacramento, California
Dec. 1, 2010 Jon C. Furgison, Esquire, Law Offices of Jon C. Furgison, Hermosa Beach, California
Dec. 1, 2010 James B. Page, Esquire, Page Perry, LLC, Atlanta, Georgia
Dec. 1, 2010 Donald R. McNeil, J.D., Minneapolis, Minnesota
Dec. 1, 2010 James E. Harwood, Memphis, Tennessee
Nov. 30, 2010 John E. Sutherland Brickley, Sears & Sorett P.A., Boston, Massachusetts
Nov. 30, 2010 Donald G. McGrath, Esq., Williamsville, New York
Nov. 30, 2010 Eliot Goldstein, Esq,, Law Offices Of Eliot Goldstein, Llp, Cabin John, Maryland
Nov. 30, 2010 Katrina M. Boice, Attorney at Law, Aidikoff, Uhl & Bakhtiari, Beverly Hills, California
Nov. 30, 2010 Douglas W. Oldfield, Attorney, Carmel, California
Nov. 30, 2010 William Smythe, IV, Memphis, Tennessee
Nov. 30, 2010 William S. Shepherd, JD LLM, Shepherd Smith Edwards Kantas LLP, Houston, Texas
Nov. 30, 2010 Richard A. Trippeer, Jr., Memphis, Tennessee
Nov. 30, 2010 James Graven, Attorney
Nov. 30, 2010 George R. DeLoach, Jr., Attorney, Fort Lauderdale, Florida
Nov. 30, 2010 Dayton P. Haigney, Esq., New York, New York
Nov. 30, 2010 James H Boyd, Jr, Retired banker, Memphis, Tennessee
Nov. 30, 2010 Barry D. Estell, Esq., Attorney Representing Customers in FINRA Arbitration, Mission, Kansas
Nov. 30, 2010 Joe Kimbrough
Nov. 30, 2010 Joel V. Roberts, Attorney, of Counsel to City of Odessa, Odessa, Texas
Nov. 30, 2010 Joyce M. Wilfong, Memphis, Tennessee
Nov. 30, 2010 Gene Holcomb, CPA ( Retired), Memphis, Tennessee
Nov. 30, 2010 Frank L. Flautt, Jr., Destin, Florida
Nov. 30, 2010 Leonard P. Haberman, Attorney, Boca Raton, Florida
Nov. 30, 2010 Rebecca B Robinson, Memphis, Tennessee
Nov. 30, 2010 Tom Porter, Law Offices of Jeffrey A. Feldman, San Francisco, California
Nov. 30, 2010 Alan C. Friedberg, Pendleton, Friedberg, Wilson Hennessey, P.C., Denver, Colorado
Nov. 30, 2010 Ronald G. Naramore, Ph.D., J.D., Garnett Naramore, Hot Springs, , Arkansas
Nov. 30, 2010 William J. Gladden, Savannah, Georgia
Nov. 30, 2010 Gail E. Boliver, J.D., M.B.A., Marshalltown, Iowa
Nov. 30, 2010 James J. Eccleston, Eccleston Law Offices, P.C., Chicago, Illinois
Nov. 30, 2010 Ronald M. Amato, Eccleston Law Offices, P.C., Chicago, Illinois
Nov. 30, 2010 Jeremy Chalmers, Philadelphia, Mississippi
Nov. 30, 2010 Dale Ledbetter, Esq., Ledbetter & Associates, PA, Fort Lauderdale, Florida
Nov. 30, 2010 Glenn S. Gitomer, Chair of Litigation Department, McCausland Keen Buckman, Radnor, Pennsylvania
Nov. 30, 2010 Mark E. Maddox, Maddox Hargett Caruso, P.C., Indianapolis, Indiana
Nov. 29, 2010 Robert S. Banks, Jr., Attorney, Banks Law Office, P.C., Portland, Oregon
Nov. 29, 2010 Steve A. Buchwalter, Esq., Encino, California
Nov. 29, 2010 Brian N. Smiley, Partner, Smiley Bishop & Porter, LLP, Atlanta, Georgia
Nov. 29, 2010 Jeffrey A. Feldman, Law Offices of Jeffrey A. Feldman, San Francisco, California
Nov. 29, 2010 Thomas Costello, Esquire, Costello Law Group, Baltimore, Maryland
Nov. 29, 2010 Robert A. Uhl, Esq., Aidikoff, Uhl and Bakhtiari, Beverly Hills, California
Nov. 29, 2010 Jeffrey P. Coleman, Esquire, Coleman Law Firm, Clearwater, Florida
Nov. 29, 2010 Robert C. Port, Esq., Cohen Goldstein Port Gottlieb, LLP, Atlanta, Georgia
Nov. 29, 2010 Herb Pounds, Jr., San Antonio, Texas
Nov. 29, 2010 Robert H. Rex, Esq., Attorney Practitioner and member Public Investors Arbitration Bar Association, Boca Raton, Florida
Nov. 29, 2010 Gary M. Brewer, Attorney, San Diego, California
Nov. 29, 2010 James A. Sigler
Nov. 29, 2010 Henry Simpson, Attorney, Dallas, Texas
Nov. 29, 2010 Keith L. Griffin, Esquire, Griffin Law Firm, LLC, Indianapolis, Indiana
Nov. 29, 2010 Bert Savage, Esq., Tampa, Florida
Nov. 26, 2010 Jan Graham , Esq., PIABA , Salt Lake City , Utah
Nov. 26, 2010 Seth E. Lipner, Prof. of Law, Zicklin School of Business, NYC Member, Deutsch & Lipner, Garden City, NY
Nov. 25, 2010 W. Scott Greco, Greco & Greco, P.C., McLean, Virginia
Nov. 25, 2010 Philip M. Aidikoff, Beverly HIlls, California
Nov. 25, 2010 Donald M Feferman, Esq, Corpus christi, Texas
Nov. 25, 2010 Royal L Lea, III, Bingham & Lea, PC, San Antonio, Texas
Nov. 25, 2010 Braden W. Sparks, Esq., PIABA member, Dallas, Texas
Nov. 25, 2010 Richard Stephens, Esq., Attorney Practitioner and FINRA Arbitrator, Boca Raton, Florida
Nov. 25, 2010 David Harrison, Esquire, Beverly Hills, California
Nov. 24, 2010 Joseph C. Korsak, Esq., York, Pennsylvania
Nov. 24, 2010 Scott R. Shewan, Pape & Shewan, LLP, Clovis, California
Nov. 24, 2010 Leonard Steiner, Attorney, Beverly Hills, California
Nov. 24, 2010 Mitchell S. Ostwald, Esq., Sacramento, California
Nov. 24, 2010 Ryan K. Bakhtiari, Aidikoff, Uhl and Bakhtiari, Beverly Hills, California
Nov. 22, 2010 Constantine N. Katsoris, Wilkinson Professor of Law, Fordham School of Law
Nov. 22, 2010 Richard M. Layne, Portland, Oregon
Nov. 22, 2010 Steven B. Caruso, Maddox Hargett Caruso, P.C., New York, New York
Nov. 18, 2010 Harvey Wacht, Senior Managing Director, Shufro, Rose & Co., LLC, New York, New York
Nov. 15, 2010 David P. Neuman, Stoltmann Law Offices, P.C., Chicago, Illinois

 

http://www.sec.gov/comments/sr-finra-2010-053/finra2010053.shtml

Modified: 10/16/2014