Regulatory Notice 17-34

FINRA Requests Comment on the Efficacy of Allowing Compensated Non-Attorneys to Represent Parties in Arbitration

Comment Period Expires: December 18, 2017

Summary

The FINRA Codes of Arbitration and Mediation Procedure permit compensated non-attorneys to represent clients in securities arbitration and mediation subject to certain exceptions. FINRA is conducting a review of the efficacy of continuing to allow such representation. The Notice outlines FINRA’s review of compensated non-attorney representatives’ (NAR firms) activities at the forum and seeks responses to questions related to forum users’ experiences with NAR firms. 

Questions concerning this Notice should be directed to: 

  • Kenneth L. Andrichik, Senior Vice President and Chief Counsel, Office of Dispute Resolution, at (212) 858-3915; or
  • Kristine Vo, Assistant Chief Counsel, Office of Dispute Resolution, at (212) 858-4106.
The views, expressions, findings and opinions expressed in the comments on this Web page are solely those of the author(s) and FINRA accepts no responsibility for the content of the comments: 
DateCommenterFormat - Size
10/19/2017Mutual Trust Co. Of AmericaPDF - 48.27 KB
10/30/2017Law Offices of Jeffrey A. FeldmanPDF - 114.82 KB
11/1/2017Gusrae Kaplan Nubaum PLLC Attorneys at LawPDF - 99.53 KB
11/3/2017Dobin Law Group, P.A.PDF - 241.51 KB
11/3/2017Kenneth StarrPDF - 53.03 KB
11/3/2017Phil GlickPDF - 48.93 KB
11/4/2017Securities Arbitration Commentator, Inc.PDF - 493.29 KB
11/6/2017Micalyn S. HarrisPDF - 46.79 KB
11/6/2017Thomas Edward WallPDF - 8.72 KB
11/17/2017Maddox Hargett & Caruso, P.C.PDF - 5.35 MB
11/19/2017PhloxADRPDF - 447.17 KB
11/24/2017Thomas FlackPDF - 97.59 KB
12/1/2017Michael J. StottPDF - 21.51 KB
12/1/2017Leonard A. NelsonPDF - 19.51 KB
12/5/2017Mary InglisPDF - 487.83 KB
12/6/2017Ronnie BartnessPDF - 51.86 KB
12/6/2017Roger HambrightPDF - 60.81 KB
12/6/2017Russell WilsonPDF - 124.92 KB
12/6/2017Donnie PatePDF - 70.32 KB
12/7/2017Cornell University Law SchoolPDF - 297.85 KB
12/7/2017Anthony W. (Bill) KashoutyPDF - 16.27 KB
12/7/2017Ret. Capt. Stephen MitchellPDF - 236.57 KB
12/7/2017Wilton ScroncePDF - 464.26 KB
12/11/2017Aidikoff, Uhl & BakhtiariPDF - 100.28 KB
12/11/2017Aidikoff, Uhl & BakhtiariPDF - 69.18 KB
12/12/2017Alvin LincolnPDF - 29.48 KB
12/14/2017Wexler Burkhart Hirschberg & Unger LLPPDF - 343.56 KB
12/15/2017SIFMAPDF - 391.95 KB
12/15/2017Dr. Robert AbrahamsenPDF - 54.75 KB
12/15/2017Leon KueflerPDF - 18.13 KB
12/15/2017Jonathan BrydPDF - 72.42 KB
12/15/2017Commonwealth Financial NetworkPDF - 175.29 KB
12/15/2017Illinois State Bar AssociationPDF - 141.21 KB
12/15/2017BFS Law GroupPDF - 37.19 KB
12/15/2017Brickley/Sears P.A.PDF - 96.08 KB
12/15/2017Richard SacksPDF - 1.53 MB
12/16/2017Philip S. CottonePDF - 68.52 KB
12/16/2017Irwin Stein, Esq.PDF - 94.19 KB
12/18/2017Meyer WilsonPDF - 179.8 KB
12/18/2017Illinois State Bar AssociationPDF - 56.14 KB
12/18/2017PIABAPDF - 603.13 KB
12/18/2017Johnson, Pope, Bokor, Ruppel & Burns, LLP.PDF - 301.51 KB
12/18/2017Meyer WilsonPDF - 177.4 KB
12/18/2017Frank MulliganPDF - 35.28 KB
12/18/2017Financial Services InstitutePDF - 189.28 KB
12/18/2017Cold Spring Advisory Group, LLCPDF - 660.43 KB
12/18/2017Lincoln Financial GroupPDF - 149.21 KB
12/18/2017John Jay Legal Services, Inc.PDF - 225.17 KB
12/18/2017Georgia State University College of LawPDF - 67.16 KB
12/18/2017St. John’s University School of LawPDF - 60.91 KB
12/18/2017Gaslowitz Frankel LLCPDF - 86.59 KB
12/18/2017Shepherd Smith Edward & KantasPDF - 131.13 KB
12/18/2017GS2LawPDF - 370.33 KB
12/18/2017Law Office of Jonathan E. Neuman, EsqPDF - 224.94 KB
12/19/2017Dimond Kaplan & Rothstein, P.A.PDF - 129.01 KB
12/19/2017Sabino & Sabino, P.C.PDF - 101.58 KB
12/19/2017Thaddeus KabatPDF - 114.27 KB
12/21/2017Benade & Huggins LLPPDF - 1.29 MB
12/21/2017Illinois State Bar AssociationPDF - 63.37 KB