Rogge Dunn, Partner, Rogge Dunn Group, PC to Speak at The Knowledge Group’s FINRA Arbitration Hot Topics for 2020:Updates You Should Know
The Knowledge Group, the leading producer of regulatory focused webcasts, has announced today that Rogge Dunn, Partner, Rogge Dunn Group, PC will speak at its webcast entitled, “FINRA Arbitration Hot Topics for 2020: Updates You Should Know.” This event is scheduled for December 13, 2019, from 3:00 pm to 5:00 pm (ET).
- (1888PressRelease) November 30, 2019 - The Knowledge Group, the leading producer of regulatory focused webcasts, has announced today that Rogge Dunn, Partner, Rogge Dunn Group, PC will speak at its webcast entitled, “FINRA Arbitration Hot Topics for 2020: Updates You Should Know.” This event is scheduled for December 13, 2019, from 3:00 pm to 5:00 pm (ET).
For further details, please visit:
https://www.theknowledgegroup.org/webcasts/finra-arbitration-hot-topics-for-2020/
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
Over the years, the Financial Industry Regulatory Authority, Inc. (FINRA) has published notices to provide firms with up to date information on different scales of arbitration issues. Latest rule proposals and potentials are continually being addressed including FINRA's efforts to gain diversity in their arbitrary pool and how to handle complex and costly aspects of arbitration.
In this LIVE Webcast, a seasoned panel of thought leaders and professionals brought together by The Knowledge Group will provide and present to the audience an in-depth analysis of the fundamentals as well as recent developments in FINRA Arbitration. Speakers will also address all important issues surrounding this significant topic including the variety of updates, changes, and recent trends. Best practices to cope with these arbitration trends will also be discussed.
This LIVE Webcast will discuss the following key topics:
• FINRA Arbitration – Trends and Updates
• Published Notices
• New Rules and Proposed Rule Changes
• Best Practices
• What Lies Ahead
About The Knowledge Group
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: http://theknowledgegroup.org/.
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