Rogge Dunn, Partner, Rogge Dunn Group, PC to Speak at The Knowledge Group’s FINRA’s Heightened Sanction Guidelines

Top Quote The Knowledge Group Live Webcast Series has announced today that Rogge Dunn, Partner, Rogge Dunn Group, PC 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 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 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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