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Comments on FINRA Rulemaking
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
(Release No. 34-73277; File No. SR-FINRA-2014-028)
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| Dec. 11, 2014 | Margo A. Hassan, Assistant Chief Counsel, FINRA Dispute Resolution, New York, New York |
| Nov. 24, 2014 | Margo A Hassan, Assistant Chief Counsel, FINRA Dispute Resolution, New York, New York |
| Nov. 21, 2014 | 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 |
| Nov. 6, 2014 | William Beatty, President, North American Securities Administrators Association (NASAA), Washington Securities Administrator, Washington, District of Columbia |
| Nov. 6, 2014 | William A. Jacobson, Clinical Professor of Law, Cornell Law School, and Director, Cornell Securities Law Clinic, Ithaca, New York |
| Nov. 6, 2014 | Greg Curley, Senior Litigation Counsel, American International Group, Inc., New York, New York |
| Nov. 6, 2014 | Ryan Corbin, Kori Eskridge, and Kristina Ludwig, Student Interns; and Nicole Iannarone, Assistant Clinical Professor, Georgia State University College of Law |
| Nov. 6, 2014 | Kevin M. Carroll, Managing Director and Associate General Counsel, SIFMA |
| Nov. 6, 2014 | 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 |
| Nov. 6, 2014 | Daniel Wolfe, Legal Intern, and Teresa Verges, Esquire, Professor of Law, University of Miami School of Law Investor Rights Clinic, Miami, Florida |
| Nov. 5, 2014 | Glenn S. Gitomer, Esquire, McCausland Keen and Buckman, Radnor, Pennsylvania |
| Oct. 30, 2014 | Ryan K. Bakhtiari, Aidikoff, Uhl and Bakhtiari, Beverly Hills, California |
| Oct. 29, 2014 | Steven B. Caruso, Esq., Maddox Hargett & Caruso, P.C., New York, New York |
| Oct. 26, 2014 | Richard P. Ryder, Esquire, President, Securities Arbitration Commentator, Inc., South Orange, New Jersey |
| Oct. 20, 2014 | George H. Friedman, Esquire, George H. Friedman Consulting, LLC, Teaneck, New Jersey |
| Oct. 10, 2014 | John A. Bender, Esq., Seattle, Washington |
Notice of Filing of a Proposed Rule Change Relating to Revisions to the Definitions of Non-Public Arbitrator and Public Arbitrator
(Release No. 34-72491; File No. SR-FINRA-2014-028)
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| Comments have been received from individuals and entities using the following Letter Type A: 295 |
| Sep. 30, 2014 | Margo A. Hassan, FINRA Dispute Resolution, New York, New York |
| Aug. 21, 2014 | Walter N. Vernon III. Esq. |
| Aug. 13, 2014 | Barry D. Estell, Esq., Mission, Kansas |
| Jul. 28, 2014 | Robert Getman |
| Jul. 24, 2014 | Thomas J. Berthel, CEO, Berthel Fisher Company, Marion, Iowa |
| Jul. 24, 2014 | Gary N. Hardiman |
| Jul. 24, 2014 | Richard P. Ryder, Esq., President, Securities Arbitration Commentator, Inc., Maplewood,, New Jersey |
| Jul. 24, 2014 | David T. Bellaire, Esq., Executive Vice President & General Counsel, Financial Services Institute |
| Jul. 24, 2014 | Jason Doss, President, Public Investors Arbitration Bar Association (PIABA), Norman, Oklahoma |
| Jul. 24, 2014 | CJ Croll, Student Intern; Elissa Germaine, Supervising Attorney; and Jill I. Gross, Director; Investor Rights Clinic, Pace Law School |
| Jul. 24, 2014 | Andrea Seidt, President, North American Securities Administrators Association (NASAA), Ohio Securities Commissioner, Washington , District of Columbia |
| Jul. 24, 2014 | Kevin M. Carroll, Managing Director and Associate General Counsel, Securities Industry and Financial Markets Association (SIFMA) |
| Jul. 24, 2014 | George H. Friedman, Esquire, George H. Friedman Consulting, LLC, Teaneck, New Jersey |
| Jul. 24, 2014 | J. Burton, LeBlanc, President, American Association for Justice |
| Jul. 23, 2014 | Glenn S. Gitomer, McCausland Keen & Buckman, Radnor, Pennsylvania |
| Jul. 21, 2014 | Christopher L. Mass, Los Angeles, California |
| Jul. 20, 2014 |
Blossom Nicinski |
| Jul. 18, 2014 |
Daniel Bacine, Esquire, Barrack, Rodos & Bacine, Philadelphia, Pennsylvania |
| Jul. 6, 2014 | Richard A. Stephens, Esq., FINRA Public Arbitrator, Los Angeles, California |
| Jul. 2, 2014 | Ryan K. Bakhtiari, Aidikoff, Uhl and Bakhtiari, Beverly Hills, California |
| Jul. 1, 2014 | Steven B. Caruso, Esq., Maddox Hargett Caruso, P.C., New York, New York |
| Jul. 1, 2014 | Philip M. Aidikoff, Esq., Aidikoff, Uhl and Bakhtiari, Beverly Hills, California |
http://www.sec.gov/comments/sr-finra-2014-028/finra2014028.shtml
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