Rogge Dunn, Partner, Clouse Dunn LLP to Speak at TKG's Event
The Knowledge Group Live Webcast Series, the leading producer of regulatory focused webcasts, has announced today that Rogge Dunn, Partner, Clouse Dunn LLP will speak at The Knowledge Group’s webcast entitled “FINRA Arbitration and Enforcement: What You Need to Know LIVE Webcast”.
- (1888PressRelease) September 27, 2017 - This event is scheduled for October 5, 2017 @ 12:00 pm – 1:30 pm (ET).
For further details, please visit:
https://www.theknowledgegroup.org/webcasts/legal/alternative-dispute-resolution/finra-arbitration-and-enforcement-what-you-need-to-know-live-webcast
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 and expertise involving significant matters in the financial industry. This includes regulatory issues, wrongful discharge, moving teams, non-competes, the Protocol for Broker Recruiting, promissory note defense and forfeiture of deferred compensation. He obtained the largest wrongful discharge arbitration award against Goldman Sachs for an FA in California. Dunn has represented a number of FAs who have given FINRA on the record statements.
Dunn has won more than $2 billion in judgments and settlements for his clients. He has represented more than 10 FAs in Barron’s top 100 financial advisors nationwide. Dunn has won million dollar jury verdicts or arbitration awards in California, Texas, Louisiana and Arkansas.
Dunn can be reached at dunn ( @ ) financialadvisorlaw dot com, 214-220-0077 or on his website at http://www dot cdklawyers dot com/rogge_dunn dot html
About Clouse Dunn LLP
Clouse Dunn was founded by Rogge Dunn in 2002. The Firm handles business and employment law matters for Fortune 500 companies and executives, entrepreneurs and employees. The Firm has handled lawsuits, arbitrations and FINRA matters across the country. The Firm has been recognized as a top law firm in Texas and its Board Certified attorneys have been repeatedly honored as among the top 100 lawyers in Texas and top lawyers in Dallas by Texas Monthly and D Magazine.
Event Synopsis:
The Financial Industry Regulatory Authority, Inc. (FINRA) regulates broker-dealer firms and administers most securities-related arbitrations in the US. Over the years, FINRA has been active in working to carry out its mission to protect investors by making sure the securities industry operates fairly and honestly. It has a set of rules for arbitrating disputes between FINRA members and their customers. On November 20, 2016, amendments to the Rule 12504 and 13540 of the FINRA Code of Arbitration Procedure was approved. The changes provide a new and additional basis for pre-hearing motions to dismiss in FINRA arbitrations. In light of these changes, it is important for FINRA members to keep abreast of the latest updates in FINRA arbitrations to reduce the chances of a surprise award.
In this two-hour LIVE Webcast, a panel of distinguished professionals and thought leaders organized by The Knowledge Group will discuss FINRA arbitration process, including pre-hearing matters, motion practice, hearings, and awards. They will also provide guidance to FINRA investigations and enforcement actions.
Key topics include:
• Understanding FINRA Arbitration
• The Arbitration Process
• Risks of FINRA Disciplinary Action
• Latest Updates to FINRA Code of Arbitration Procedure
• Best Practices for Counsel
About The Knowledge Group, LLC/The Knowledge Congress Live Webcast Series
The Knowledge Group was established with the mission to produce unbiased, objective, and educational live webinars that examine industry trends and regulatory changes from a variety of different perspectives. The goal is to deliver a unique multilevel analysis of an important issue affecting business in a highly focused format. To contact or register to an event, please visit: www.theknowledgegroup.org
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