Comments on FINRA Rulemaking

Notice of Filing of a Proposed Rule Change Relating to Simplified Arbitration

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Date Received
Date Letter Type Commenter Name
Public Comment Margo Hassan, Associate Chief Counsel, FINRA Office of Dispute Resolution
Public Comment Abigail Howd, Eric Peters, and Dowdy White, Student Interns, and Nicole G. Iannarone, Assistant Clinical Professor; Investor Advocacy Clinic, Georgia State University College of Law
Public Comment Barbara Black, Professor of Law, University of Cincinnati College of Law (Retired)
Public Comment Jill I. Gross, Professor of Law, Pace University
Public Comment John Ripoli, Simon Halper, and Mark Samo, Student Interns; and Elissa Germaine, Director; Pace Investor Rights Clinic
Public Comment Kevin M. Carroll, Managing Director and Associate General Counsel, SIFMA
Public Comment William A. Jacobson, Clinical Professor of Law, and Director, Cornell Securities Law Clinic, and Sam Wildman, Cornell Law School
Public Comment Daniel P. Guernsey, Student Intern, and Teresa J. Verges, Director, University of Miami School of Law Investor Rights Clinic
Public Comment Andrew Stoltmann, President, Public Investors Arbitration Bar Association (PIABA)
Public Comment Eric Duhon and Paige Foley, Student Attorneys, Investor Protection Clinic, William S. Boyd School of Law, University of Nevada, Las Vegas
Public Comment Katherine Kokotos, Amrita Maitlall, and Sumaya Restagno, Legal Interns; and Christine Lazaro, Director; Securities Arbitration Clinic, St. John's University School of Law
Public Comment Mark D. Norych, President and CEO, Arbitration Resolution Services, Inc.
Public Comment Steven B. Caruso, Maddox Hargett & Caruso, P.C.

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-FINRA-2018-003
Release Number
34-82693
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