Regulatory Notice 18-22

FINRA Requests Comment on Proposed Amendments to Its Discovery Guide to Require Production of Insurance Information in Arbitration

Comment Period Expires: September 24, 2018

Summary

FINRA is requesting comment on proposed amendments to the Discovery Guide’s (Guide) Firm/Associated Persons Document Production List (Firm/ Associated Persons List) to require firms and associated persons, upon request, to produce documents concerning third-party insurance coverage in a customer arbitration proceeding. The proposed amendments would strictly limit the circumstances under which insurance coverage information could be presented to the arbitrators.

The text of the proposed amendments is set forth in Attachment A.

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.

This Letter was submitted by 77 additional individuals.

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
7/26/2018Banks Law Office, P.C.PDF - 20.8 KB
7/26/2018David Harrison, Esq.PDF - 40.4 KB
7/27/2018Mutual TrustPDF - 54.75 KB
7/29/2018Jim SiglerPDF - 39.09 KB
7/30/2018St. Bernard Financial Services, Inc.PDF - 41.07 KB
7/30/2018Bridge Capital Associates, Inc.PDF - 39.56 KB
7/30/2018The Frankowski Firm, LLCPDF - 51 KB
7/30/2018Aidikoff, Uhl & BakhtiariPDF - 138.41 KB
8/3/2018Lisa MillerPDF - 43.25 KB
8/3/2018Shralow/ADR., LLCPDF - 39.67 KB
8/9/2018Whiteman LawPDF - 52.54 KB
8/14/2018Israels & Neuman PLCPDF - 60.22 KB
8/15/2018Boliver Law FirmPDF - 40.51 KB
8/15/2018Kenner Nygaard DeMarea KendallPDF - 44.69 KB
8/15/2018Peter C. RageasPDF - 35.65 KB
8/16/2018Cadaret GrantPDF - 33.96 KB
8/16/2018Charles M. ThompsonPDF - 36.42 KB
8/16/2018Law Offices Dickenson Murphy Rex & SloanPDF - 204.02 KB
8/16/2018Berg, Hill, Greenleaf, Ruscitti LLPPDF - 46.93 KB
8/16/2018Samuels Yoelin Kantor LLPPDF - 248.23 KB
8/22/2018Van Kampen & Crowe PLLCPDF - 162.28 KB
8/23/2018Stoltmann Law Offices, P.C.PDF - 89.99 KB
8/23/2018Law Offices of Melinda Jane SteuerPDF - 44.52 KB
8/23/2018Czuchry Law Firm, LLCPDF - 21.47 KB
8/24/2018Shepherd Smith Edwards & KantasPDF - 123.92 KB
8/24/2018Law Offices of Steven M. McCauleyPDF - 49.34 KB
8/29/2018Greco & Greco, P.C.PDF - 44.67 KB
8/30/2018Whitehall-Parker Securities, Inc.PDF - 45.81 KB
8/30/2018Whitehall-Parker Securities, Inc.PDF - 44.83 KB
9/4/2018Brickley/Sears, P.A.PDF - 34.65 KB
9/5/2018Kyros LawPDF - 77.11 KB
9/5/2018Law Offices of Jeffrey A. FeldmanPDF - 103.49 KB
9/5/2018Willoughbhy & Hoefer, P.A.PDF - 195.62 KB
9/5/2018Steiner & Libo Professional CorporationPDF - 47.35 KB
9/5/2018Jeffrey PedersonPDF - 45.49 KB
9/5/2018Law Office of Peter M. SpettPDF - 119.01 KB
9/5/2018Law Offices of Joshua B. Kons, LLCPDF - 103.48 KB
9/5/2018Swanson Midgley, LLCPDF - 46.14 KB
9/5/2018Costello Law GroupPDF - 44.21 KB
9/5/2018Maddox Hargett & Caruso, P.C.PDF - 47.77 KB
9/5/2018Meyer Wilson Co., LPAPDF - 44.92 KB
9/5/2018Gana Weinstein, LLPPDF - 303.42 KB
9/5/2018The Guiliano Law Firm, P.C.PDF - 27.55 KB
9/5/2018Bradley R. Stark, Esq.PDF - 58.86 KB
9/5/2018The Law Office of Scott LanePDF - 854.07 KB
9/5/2018Meyer Wilson Co., LPAPDF - 77.63 KB
9/6/2018Dimond Kaplan & Rothstein, P.A.PDF - 137.25 KB
9/6/2018Furgison Law GroupPDF - 46.2 KB
9/6/2018StockBrokerLawyer.comPDF - 104.5 KB
9/6/2018Gaslowitz Frankel LLCPDF - 51.18 KB
9/6/2018ChapmanAlbin LLCPDF - 41.12 KB
9/7/2018Green & SchaflePDF - 126.91 KB
9/7/2018The Law Office of David Liebrader, Inc.PDF - 45.44 KB
9/7/2018Higgins & Burke, P.C.PDF - 105.45 KB
9/7/2018Girard Bengali PDF - 49.35 KB
9/7/2018Stoltmann Law Offices, P.C.PDF - 84.45 KB
9/8/2018Seth E. LipnerPDF - 45.26 KB
9/10/2018Mauriello Law FirmPDF - 43.61 KB
9/10/2018Maddox Hargett & Caruso, P.C.PDF - 532.93 KB
9/10/2018The Law Offices of Robert Wayne PearcePDF - 157.55 KB
9/10/2018Ray Quinney & NebekerPDF - 123.76 KB
9/11/2018Busch Ruotolo & Simpson LLPPDF - 79.25 KB
9/11/2018Fitapelli KurtaPDF - 63.6 KB
9/12/2018Levin, Papantonio, Thomas, Mitchell, Rafferty & Proctor, P.A.PDF - 308.22 KB
9/12/2018James A. SiglerPDF - 42.99 KB
9/12/2018Braden W. Sparks, PCPDF - 40.85 KB
9/13/2018Sonn LawPDF - 64.25 KB
9/13/2018LewinsLawPDF - 50.46 KB
9/14/2018Law Offices of Timothy J. O’ConnorPDF - 804.99 KB
9/17/2018McCausland Keen + BuckmanPDF - 45.54 KB
9/18/2018Aidikoff, Uhl & BakhtiariPDF - 107.67 KB
9/20/2018Law Offices of Brent A. Burns, LLCPDF - 117.8 KB
9/20/2018Farmers InsurancePDF - 700.58 KB
9/21/2018SIFMAPDF - 194.06 KB
9/21/2018Centaurus Financial, Inc.PDF - 113.12 KB
9/21/2018Stephen A. Kohn & Associates, Ltd.PDF - 43.12 KB
9/21/2018American Investors CompanyPDF - 62.53 KB
9/23/2018First Asset Financial Inc.PDF - 214.37 KB
9/23/2018Maplewood Investment Advisors, Inc.PDF - 50.13 KB
9/23/2018Lambert Law Firm, LLCPDF - 75.5 KB
9/24/2018Winslow, Evans & Crocker, Inc.PDF - 848.93 KB
9/24/2018Pace Investor Rights ClinicPDF - 38.5 KB
9/24/2018Saretsky Hart Michaels + GouldPDF - 138.05 KB
9/24/2018Silver Law GroupPDF - 179.33 KB
9/24/2018Silver Leaf PartnersPDF - 47.08 KB
9/24/2018Financial Services InstitutePDF - 155.43 KB
9/24/2018Cornell Law SchoolPDF - 159.29 KB
9/24/2018Larimer Capital Corp. PDF - 239.23 KB
9/24/2018PIABAPDF - 160.9 KB
9/24/2018Jonathan W. Evans & AssociatesPDF - 153.53 KB
9/24/2018St. John’s University School of LawPDF - 310.69 KB
9/24/2018Sun’s Brothers Securities, Inc.PDF - 4.1 MB
9/24/2018Allied Millennial PartnersPDF - 105.51 KB
9/24/2018Johnson, Pope, Bokor, Ruppel & Burns, LLPPDF - 72.92 KB
9/24/2018NPB Financial Group, LLCPDF - 47.98 KB
9/24/2018University of Pittsburgh School of LawPDF - 201.71 KB
9/24/2018Cambridge Investment Research, Inc.PDF - 25.77 KB
9/24/2018Bingham & Lea, PCPDF - 44.49 KB
9/24/2018Raptor Partners LLCPDF - 49.89 KB
9/24/2018Bley Investment Group, Inc.PDF - 48.78 KB
9/24/2018Valenti Hanley PLLCPDF - 51.22 KB
9/24/2018McCormick & O’Brien, LLPPDF - 205.7 KB
9/24/2018Union Square Advisors LLCPDF - 231.59 KB
9/24/2018Stock Broker Problems.comPDF - 48.15 KB
9/24/2018Braganca Law LLCPDF - 28.44 KB
9/24/2018Georgia State University College of LawPDF - 127.55 KB
9/24/2018AIA/NAMICPDF - 115.66 KB
9/24/2018University of Miami School of LawPDF - 211.89 KB
9/24/2018Amuni Financial, Inc.PDF - 49.48 KB
9/25/2018Cetera Financial GroupPDF - 307.06 KB
9/26/2018Chatsworth Securities LLCPDF - 44.82 KB
9/28/2018Beaconsfield Financial Services, Inc.PDF - 54.73 KB