Rogge Dunn, Partner, Rogge Dunn Group PC to Speak at TKG’s FINRA’s Crackdown on High-Risk Brokers:Recent Trends and Developments You Can’t Ignore
The Knowledge Group/The Knowledge Congress Live Webcast Series, the leading producer of regulatory focused webcasts, has announced today that Rogge Dunn, Partner, Rogge Dunn Group PC will speak at TKGs webcast entitled: “FINRA’s Crackdown on High-Risk Brokers: Recent Trends and Developments You Can’t Ignore.” This event is scheduled for Tuesday, December 11, 2018 from 12:00 PM to 1:30 PM (ET).
- (1888PressRelease) October 31, 2018 - The Knowledge Group/The Knowledge Congress Live Webcast Series, the leading producer of regulatory focused webcasts, has announced today that Rogge Dunn, Partner, Rogge Dunn Group, PC will speak at the Knowledge Group’s webcast entitled: “FINRA’s Crackdown on High-Risk Brokers: Recent Trends and Developments You Can’t Ignore.” This event is scheduled for Tuesday, December 11, 2018 from 12:00 PM to 1:30 PM (ET).
For further details, please visit:
https://www.theknowledgegroup.org/webcasts/finras-crackdown-on-high-risk-brokers/
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’snational top 100 financial advisors.
Event Synopsis:
In April 2018, the Financial Industry Regulatory Authority (FINRA) issued a guidance on when intensified broker-dealer oversight of associated persons, may be necessary. The guidance proposes rule amendments that would heighten restrictions on member companies employing brokers with history of past misconduct. Reminding broker-dealers of their supervisory responsibilities, Regulatory Notice 18-15 requires FINRA member firms to implement supervisory procedures for associated persons.
Our panel of key thought leaders and practitioners organized by The Knowledge Group will offer a discussion of the fundamentals as well as recent updates regarding the latest and significant issues surrounding FINRA’s regulation of high-risk brokers. This LIVE Webcast aims to help you to avoid common pitfalls and risk issues by adopting best compliance practices in light of the guidance.
Key topics include:
• FINRA’s Guidance on High-Risk Brokers: Overview
• Recent Enforcement Trends
• Overlap with State Regulatory Focus
• Regulatory Updates
• Emerging Pitfalls and Risks
• Best Practices: Supervision and Compliance
About The Knowledge Group/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 for an event, please visit: http://theknowledgegroup.org/
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