Comments on FINRA Rulemaking: Notice of Filing of a Proposed Rule Change Relating to Revisions to the Definitions of Non-Public Arbitrator and Public Arbitrator; Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change Relating to Revisions to the Definitions of Non-Public Arbitrator and Public Arbitrator

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Comment
A: 295

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Date Received
Date Letter Type Release Number Commenter Name
Public Comment 34-73277 Margo A. Hassan, Assistant Chief Counsel, FINRA Dispute Resolution, New York, New York
Public Comment 34-73277 Margo A Hassan, Assistant Chief Counsel, FINRA Dispute Resolution, New York, New York
Public Comment 34-73277 CJ Croll and Jeffrey Valacer, Student Interns; Elissa Germaine, Supervising Attorney; and Jill Gross, Director; Investor Rights Clinic, Pace Law School, White Plains, New York
Public Comment 34-73277 CJ Croll and Jeffrey P. Valacer, Student Interns; Elissa Germaine, Supervising Attorney; and Jill I. Gross, Director; Pace Investor Rights Clinic, White Plains, New York
Public Comment 34-73277 Daniel Wolfe, Legal Intern, and Teresa Verges, Esquire, Professor of Law, University of Miami School of Law Investor Rights Clinic, Miami, Florida
Public Comment 34-73277 Greg Curley, Senior Litigation Counsel, American International Group, Inc., New York, New York
Public Comment 34-73277 Kevin M. Carroll, Managing Director and Associate General Counsel, SIFMA
Public Comment 34-73277 Ryan Corbin, Kori Eskridge, and Kristina Ludwig, Student Interns; and Nicole Iannarone, Assistant Clinical Professor, Georgia State University College of Law
Public Comment 34-73277 William A. Jacobson, Clinical Professor of Law, Cornell Law School, and Director, Cornell Securities Law Clinic, Ithaca, New York
Public Comment 34-73277 William Beatty, President, North American Securities Administrators Association (NASAA), Washington Securities Administrator, Washington, District of Columbia
Public Comment 34-73277 Glenn S. Gitomer, Esquire, McCausland Keen and Buckman, Radnor, Pennsylvania
Public Comment 34-73277 Ryan K. Bakhtiari, Aidikoff, Uhl and Bakhtiari, Beverly Hills, California
Public Comment 34-73277 Steven B. Caruso, Esq., Maddox Hargett & Caruso, P.C., New York, New York
Public Comment 34-73277 Richard P. Ryder, Esquire, President, Securities Arbitration Commentator, Inc., South Orange, New Jersey
Public Comment 34-73277 George H. Friedman, Esquire, George H. Friedman Consulting, LLC, Teaneck, New Jersey
Public Comment 34-73277 John A. Bender, Esq., Seattle, Washington
Public Comment 34-72491 Margo A. Hassan, FINRA Dispute Resolution, New York, New York
Public Comment 34-72491 Walter N. Vernon III. Esq.
Public Comment 34-72491 Barry D. Estell, Esq., Mission, Kansas
Public Comment 34-72491 Robert Getman
Public Comment 34-72491 Andrea Seidt, President, North American Securities Administrators Association (NASAA), Ohio Securities Commissioner, Washington , District of Columbia
Public Comment 34-72491 CJ Croll, Student Intern; Elissa Germaine, Supervising Attorney; and Jill I. Gross, Director; Investor Rights Clinic, Pace Law School
Public Comment 34-72491 David T. Bellaire, Esq., Executive Vice President & General Counsel, Financial Services Institute
Public Comment 34-72491 Gary N. Hardiman
Public Comment 34-72491 George H. Friedman, Esquire, George H. Friedman Consulting, LLC, Teaneck, New Jersey
Additional Files:
Public Comment 34-72491 J. Burton, LeBlanc, President, American Association for Justice
Public Comment 34-72491 Jason Doss, President, Public Investors Arbitration Bar Association (PIABA), Norman, Oklahoma
Public Comment 34-72491 Kevin M. Carroll, Managing Director and Associate General Counsel, Securities Industry and Financial Markets Association (SIFMA)
Public Comment 34-72491 Richard P. Ryder, Esq., President, Securities Arbitration Commentator, Inc., Maplewood,, New Jersey
Public Comment 34-72491 Thomas J. Berthel, CEO, Berthel Fisher Company, Marion, Iowa

Last Reviewed or Updated: Jan. 8, 2026

File Number
SR-FINRA-2014-028
Release Number
34-73277
34-72491
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