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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.
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.
Because financial services employers operate in a regulated landscape, they face a unique range of compliance issues and challenges when it comes to employment laws. Their compliance to several regulatory systems affects the various phases of employment relationship which includes dispute resolution.
To handle employment and investment disputes for the financial services industry, the Financial Industry Regulatory Authority (FINRA) provides an arbitral forum for investors, individual brokers, and brokerage firms.
Join a panel of key thought leaders and lawyers assembled by The Knowledge Group as they bring the audience to a road beyond the basics of employment dispute arbitration at FINRA and as they delve into an in-depth analysis of the current trends and recent court rulings. Speakers will also provide the audience with practical strategies in bringing out the best in these arbitrations in a rapidly evolving legal climate.
Key topics include:
• Employment Dispute Arbitration at FINRA: An Overview
• Current Trends and Recent Court Rulings
• Key Issues
• Litigation Challenges
• Practical Arbitration Strategies
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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