Rogge Dunn, Managing Partner, Rogge Dunn Group, PC to Speak at TKG’s Demystifying the Current Landscape of Broker-Dealers Amidst the COVID-19 Pandemic
The Knowledge Group, the leading producer of regulatory focused webcasts, has announced today that Rogge Dunn, Managing Partner, Rogge Dunn Group will speak at its webcast entitled, “Demystifying the Current Landscape of Broker-Dealers Amidst the COVID-19 Pandemic: What You Must Know and Do LIVE Webcast.”
- (1888PressRelease) January 27, 2021 - This event is scheduled for Tuesday, January 26, 2021 from 12:00PM to 1:00PM ET.
For further details, please visit:
https://www.theknowledgegroup.org/webcasts/broker-dealers-amidst-the-covid-19-pandemic/
About Rogge Dunn
Rogge Dunn is a trial attorney and counselor for Fortune 500 companies, wirehouses and prominent Financial Advisors, executives and entrepreneurs. Dunn has developed a specialty involving significant matters in the financial industry. This includes regulatory issues, wrongful discharge, moving teams, OTRs, non-competes, the Protocol for Broker Recruiting, promissory note defense and forfeiture of deferred compensation.
He has twice set the largest wrongful discharge arbitration award against Goldman Sachs for FAs in California. (Breaking Dunn’s own record). Most recently he obtained a $7.6 million Award against Goldman Sachs in a FINRA arbitration in Los Angeles.
Dunn has won more than $2 billion in judgments and settlements for his clients. He has represented more than 10 FAs in Barron’s national top 100 financial advisors. Dunn has won million-dollar jury verdicts or arbitration awards in California, Texas, Louisiana and Arkansas.
About Rogge Dunn Group, PC
We have extensive experience handling a variety of matters across the U.S. in the financial industry space. Indeed, one of our partners, Josh Iacuone, is a licensed FINRA arbitrator. We have taken on and defeated the big firms like Goldman Sachs, BBVA, and UBS.
We transition teams to new firms, handle TROs, fight off non-competes and non-solicits, ensure that the broker recruiting protocol is followed (for signatories), defend against promissory note enforcement, help financial advisors, Branch Managers and financial executives with severance, regulatory issues, letters of education and FINRA investigations. We have a track record of recovering FAs/RMs deferred compensation forfeited by former employers. We assist FAs, Branch Managers and financial executives protect their reputations, handle expungements and the marking and filing of U-4s and U-5s. We have represented more than a dozen of Barron’s national top 100 financial advisors.
Abstract
The emergence of the COVID-19 pandemic presented a myriad of challenges to the broker-dealer industry. Primarily, it has prompted a heightened risk of fraudulent activities in the U.S. and has opened an avenue for other COVID-19-related scams. With this, the Financial Industry Regulatory Authority (FINRA) established a COVID Fraud Task Force to monitor and mitigate potential fraud in the broker-dealer industry and U.S. markets.
As the regulatory paradigm remains uncertain, brokerage firms must be wary and vigilant of potential risk issues. They must also keep themselves in the loop of emerging developments to avoid drawbacks.
In a LIVE Webcast, trial attorney and corporate counsel Rogge Dunn (Rogge Dunn Group, PC) will provide a comprehensive discussion of the recent trends and developments in broker-dealer regulation during the COVID-19 pandemic. The speaker will also offer practical tips to avoid pitfalls and ensure compliance in this evolving climate.
Key topics include:
• Broker-Dealer Regulation: Trends and Updates
• FINRA's Examination Priorities on Broker-Dealers
• COVID-19 Implications
• Addressing Legal Risks and Pitfalls
• Best Compliance Practices
About The Knowledge Group
Founded in November 2006, The Knowledge Group has been at the forefront of providing quality continuing education programs for lawyers, accountants, financial executives, risk and compliance specialists, human resources professionals, technology officers, and business consultants in a wide range of industries.
The Knowledge Group strives to be the best-in-class provider of continuing education by bringing forth relevant content you can’t get anywhere else. To contact or register to an event, please visit: http://theknowledgegroup.org/.
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