Pre-Dispute Arbitration: Title IX Provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act

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Date Received
Date Letter Type Commenter Name
Public Comment David D. Noble, Noble Foundation, Wooster, Ohio
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a January 14, 2016, meeting with a representative of Elkins Kalt LLP
Public Comment Kevin Carroll, Managing Director & Associate General Counsel, SIFMA
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a March 26, 2015, meeting with representatives of the Public Investors Arbitration Bar Association relating to section 921 of the Dodd-Frank Act
Public Comment Timothy Heilig, Palo Alto, California
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a June 20, 2013, meeting with Professor Barbara Black
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding an article submitted by George Friedman
Public Comment A. Heath Abshure, President, North American Securities Administrators Association
Public Comment William F. Galvin, Secretary of the Commonwealth, Commonwealth of Massachusetts
Public Comment Constantine N. Katsoris, Chairman, Securities Industry Conference on Arbitration
Meeting with SEC Officials Memorandum from the Division of Trading & Markets regarding a September 10, 2011 meeting with Cliff Palefsky and Michael Rubin
Public Comment Jill I. Gross, Professor of Law, Director of Legal Skills, Pace Law School
Meeting with SEC Officials Memorandum from the Division of Trading & Markets regarding an April 4, 2011, telephonic meeting with a representative of McGuinn, Hillsman & Palefsky
Public Comment Irene Rutledge, San Jose, California
Public Comment Cliff Palefsky, National Employment Lawyers Association
Public Comment Carter Greenbaum
Public Comment Jeffrey R. Sonn, Esq., Sonn & Erez, PLC
Public Comment Peter J. Mougey, 2011 PIABA President, Pensacola, Florida
Public Comment David M Sobel, Esq, Abel/Noser Corp, NY, New York
Public Comment Richard M Layne, Portland, Oregon
Public Comment Kurt Arbuckle
Public Comment Z. Jane Riley, Littleton, Colorado
Public Comment Diane Nygaard, Esq
Public Comment Melinda Steuer, Attorney, Sacramento, California
Public Comment Tim Canning, Law Offices of Timothy A. Canning, Arcata, California
Public Comment James B. Eichberg, CPA, Arbitrator/Mediator FINRA, NFA, Denver, Colorado
Public Comment M. K., Esq., California
Public Comment Barry D. Estell, Esq., Attorney Representing Customers in FINRA Arbitration, Mission, Kansas
Public Comment Bruce D. Oakes, Securities Arbitration Attorney, St. Louis, Missouri

Last Reviewed or Updated: Dec. 18, 2025

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