Comments on FINRA Rulemaking
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of
Filing of a Proposed Rule Change to Amend the FINRA Codes of Arbitration Procedure
and Code of Mediation Procedure to Revise and Restate the Qualifications for
Representatives in Arbitrations and Mediations
[Release No. 34-98703; File No. SR-FINRA-2023-013]
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| May 8, 2024 | Joseph C. Peiffer, President, Public Investors Advocate Bar Association |
| May 8, 2024 | Kristine Vo, Assistant General Counsel, Financial Industry Regulatory
Authority, Inc. |
| May 8, 2024 | St. Vincent De Paul Legal Program, Inc.,
Securities Arbitration Clinic,
St. John’s University School of Law et al. |
| May 8, 2024 | Nicole G. Iannarone, Associate Professor of Law, Drexel Kline Law; Chair,
FINRA National Arbitration and Mediation Committee |
| May 7, 2024 | Alice L. Stewart,
Associate Professor of Law, Legal Clinics,
Director of Legal Clinics et al. |
| May 6, 2024 | William A. Jacobson, Esq., Clinical Professor of Law, Cornell Law School Director, Cornell Securities Law Clinic et al. |
| May 2, 2024 | Aleaha N. Jones, Pickard Djinis and Pisarri LLP |
| Apr. 18, 2024 | David E. Robbins, Attorney and Author |
| Jan. 8, 2024 | Kristine Vo, Assistant General Counsel, Office of General Counsel, FINRA |
| Jan. 5, 2024 | Lynne Brundage |
| Nov. 3, 2023 | Christine Lazaro, Supervising Attorney, Elizabeth Allhusen, Legal Intern, Camille Perbost, Legal Intern, and Elissa Germaine, Supervising Attorney, Securities Arbitration Clinic of St. John's University School of Law |
| Nov. 3, 2023 | Mark Quinn, Director of Regulatory Affairs, Cetera Financial Group |
| Nov. 3, 2023 | Joseph C. Peiffer, President, Public Investors Advocate Bar Association |
| Oct. 7, 2023 | Steven B. Caruso |
