Comments on FINRA Rulemaking

Notice of Filing of a Proposed Rule Change to Amend the Codes of Arbitration Procedure Relating to Requests to Expunge Customer Dispute Information, Including Creating a Special Arbitrator Roster to Decide Certain Expungement Requests

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Date Received
Date Letter Type Commenter Name
Public Comment SIFMA
Public Comment Anonymous
Public Comment David P. Meyer on behalf of PIABA and Jason R. Doss and Lisa Braganca on behalf of The PIABA Foundation, President of PIABA and President and Vice-President of The PIABA Foundation Attorneys
Public Comment Mignon McLemore, Office of General Counsel, FINRA
Public Comment Mignon McLemore, Associate General Counsel, Office of General Counsel, FINRA
Public Comment Barbara Roper, Director of Investor Protection, Consumer Federation of America
Public Comment David P. Meyer, President, Public Investors Advocate Bar Association
Public Comment Lisa Hopkins, President, North American Securities Administrators Association, Inc.
Public Comment Benjamin P. Edwards, Associate Professor of Law, University of Nevada, Las Vegas, William S. Boyd School of Law
Public Comment Jason R. Doss, President, The PIABA Foundation, Inc. and Celiza Braganca, Vice-President, The PIABA Foundation, Inc.
Public Comment Kevin M. Carroll, Managing Director and Associate General Counsel, Securities Industry and Financial Markets Association
Public Comment Lisa Hopkins, NASAA President, General Counsel and Senior Deputy Commissioner of Securities, West Virginia
Public Comment Julius Z. Frager
Public Comment Prof. Lisa Miller, Esq. Public Arbitrator, CEO, Lex Law Corporation
Public Comment Mignon McLemore, Assistant General Counsel, Office of General Counsel, FINRA
Public Comment David P. Meyer, President, PIABA
Public Comment Amanda Skrelja, Student Intern, PIRC; Paige Guarino, Student Intern, PIRC; William Lapadula, Student Intern, PIRC; Zachary Dukoff, Student Intern, PIRC; and Elissa Germaine, Supervising Attorney, PIRC
Public Comment Dochtor D. Kennedy, President & Founder, AdvisorLaw, LLC
Public Comment Kevin M. Carroll, Managing Director and Associate General Counsel, Securities Industry and Financial Markets Association
Public Comment Lisa Hopkins, NASAA President, General Counsel and Senior Deputy Commissioner of Securities, West Virginia
Public Comment Ruben Huertero, Legal Intern and Christine Lazaro, Director of the Securities Arbitration Clinic and Professor of Clinical Legal Education
Public Comment Benjamin P. Edwards, Associate Professor of Law, University of Navada, Las Vegas
Public Comment Steven B. Caruso, Maddox Hargett Caruso, P.C.

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-FINRA-2020-030
Release Number
34-90000
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