Comments on FINRA Rulemaking

Notice of Filing of Proposed Rule Change Relating to Amendments to the Customer and Industry Codes of Arbitration Procedure to Revise the Public Arbitrator Definition

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Date Received
Date Letter Type Commenter Name
Public Comment Margo A. Hassan, Assistant Chief Counsel, FINRA Dispute Resolution, New York, New York
Public Comment Charles Michael Tobin, The Tobin Law Firm LLC
Public Comment Mitchell Ostwald, Attorney at Law, Sacramento, California
Public Comment Nicholas J. Guiliano, Esquire, Philadelphia, Pennsylvania
Public Comment Theodore M. Davis, Esquire, Long Island City, New York
Public Comment A. Heath Abshure, NASAA President and Arkansas Securities Commissioner
Public Comment Barry D. Estell, Esq., Attorney, Mission, Kansas
Public Comment Dale Ledbetter, Esq., Ledbetter and Associates, Ft. Lauderdale, Florida
Public Comment David T. Bellaire, Esq., Executive Vice President and General Counsel, Financial Services Institute, Washington, District of Columbia
Public Comment Diane Nygaard, Attorney, Kansas City, Missouri
Public Comment Elizabeth Zeck, Attorney, Willoughby & Hoefer, PA, Columbia, South Carolina
Public Comment James A. Dunlap, Jr., James A. Dunlap Jr. & Associates LLC, Atlanta, Georgia
Public Comment James A. Sigler
Public Comment Jeffrey Sonn, Esq., Sonn & Erez PLC, Fort Lauderdale, Florida
Public Comment Jenice L. Malecki, Esq., New York, New York
Public Comment Joseph Fogel, Fogel & Associates, Encino, California
Public Comment Leonard Steiner, Beverly Hills, California
Public Comment Mark E. Sanders, Attorney, Halling & Cayo, S.C., Milwaukee, Wisconsin
Public Comment Peter Mougey, Levin, Papantonio, Thomas, Mitchell, Rafferty & Proctor, P.A., Pensacola, Florida
Public Comment Richard A. Lewins, Esq., Dallas, Texas
Public Comment Robert S. Banks, Jr., Banks Law Office, P.C. , Portland, Oregon
Public Comment Robert Savage, Esquire, Tampa, Florida
Public Comment Robert Savage, Esquire, Visiting Assistant Clinical Professor, Florida International University College of Law, Miami, Florida
Public Comment Robert W. Goehring, Esquire, Pittsburgh, Pennsylvania
Public Comment Royal Lea, San Antonio, Texas
Public Comment Scott C. Ilgenfritz, President, Public Investors Arbitration Bar Association, Tampa, Florida
Public Comment Thomas C. Costello, Baltimore, Maryland
Public Comment W. Scott Greco, Partner, Greco & Greco, P.C., McLean, Virginia
Public Comment William A. Jacobson, Associate Clinical Professor, Cornell Law School, and Director, Cornell Securities Law Clinic, Ithaca, New York
Public Comment William S. Shepherd, Shepherd Smith Edwards and Kantas, LLP

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-FINRA-2013-003
Release Number
34-68632
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