Demystifying the Current Landscape of Broker-Dealers Amidst the COVID-19 Pandemic: What You Must Know and Do

Live Date: Tuesday, December 01, 2020 from 3:00 pm to 5:00 pm (ET)
Recording Available: Wednesday, December 02, 2020
 Rogge Dunn

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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. 

Website: https://roggedunngroup.com/

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