Peter Tepley, Partner, Rumberger, Kirk & Caldwell to Speak at The Knowledge Group’s FINRA’s Heightened Sanction Guidelines

Top Quote The Knowledge Group Live Webcast Series has announced today that Peter Tepley, Partner, Rumberger, Kirk & Caldwell will speak at The Knowledge Group’s webcast entitled: “FINRA’s Heightened Sanction Guidelines: What To Expect in 2019 LIVE Webcast.” End Quote
  • (1888PressRelease) January 11, 2019 - This event is scheduled for January 16, 2019 from 3:00pm to 5:00pm (ET).

    For further details, please visit:

    About Peter Tepley
    Peter Tepley is a partner in the Birmingham office of Rumberger, Kirk and Caldwell. Tepley frequently represents securities broker dealers, including clearing brokers, and their registered representatives in customer, employment, and industry disputes in FINRA arbitrations as well as state and federal courts. He also represents public and private companies and their officers and directors in a variety of complex business disputes, including business torts and breach of contract cases. He defends businesses and individual officers and directors in class actions, including securities class actions.

    About Rumberger, Kirk & Caldwell
    Rumberger, Kirk & Caldwell provides litigation and counseling services in a wide range of civil practice areas including product liability, commercial litigation, construction, real estate, intellectual property litigation, securities litigation, financial services litigation, labor and employment law, bankruptcy, insurance coverage, professional liability and administrative law. Offices are located in Orlando, Tampa, Miami, Tallahassee and Birmingham.

    Event Synopsis:
    In May 2018, the Financial Industry Regulatory Authority (FINRA) released its amendments to the Sanction Guidelines that revamped the assessment of sanctions in disciplinary proceedings. Under these revisions, customer arbitration history should be taken into consideration by adjudicators when determining the severity of disciplinary sanction to be imposed. The revisions cover disciplinary complaints filed beginning June 1, 2018.

    In this LIVE Webcast, a panel of distinguished professionals and thought leaders organized by The Knowledge Group will provide an in-depth discussion of latest updates and developments in FINRA’s Sanction Guidelines. Speakers will dig deeper as they analyze its implications and provide best practices to prevent risks and pitfalls.

    Key topics include:
    • FINRA’s Sanction Guidelines: An Overview
    • Recent Trends and Developments in FINRA’s Sanction Guidelines
    • Common Pitfalls and Risk Issues
    • Risk Mitigation Techniques and Best Practices
    • What Lies Ahead

    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:

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