Demystifying the Current Landscape of Broker-Dealers Amidst the COVID-19 Pandemic: What You Must Know and Do
Recording Available: Wednesday, December 02, 2020
The emergence of the COVID-19 pandemic presented a myriad of challenges to the broker-dealer industry. Primarily, it has prompted a heightened risk of fraudulent activities in the U.S. and has opened an avenue for other COVID-19-related scams. With this, the Financial Industry Regulatory Authority (FINRA) established a COVID Fraud Task Force to monitor and mitigate potential fraud in the broker-dealer industry and U.S. markets.
As the regulatory paradigm remains uncertain, brokerage firms must be wary and vigilant of potential risk issues. They must also keep themselves in the loop of emerging developments to avoid drawbacks.
In a LIVE Webcast, a panel of key thought leaders and distinguished professionals assembled by The Knowledge Group will provide a comprehensive discussion of the recent trends and developments in broker-dealer regulation during the COVID-19 pandemic. Speakers will also offer practical tips to avoid pitfalls and ensure compliance in this evolving climate.
Key issues include:
- Broker-Dealer Regulation: Trends and Updates
- FINRA's Examination Priorities on Broker-Dealers
- COVID-19 Implications
- Addressing Legal Risks and Pitfalls
- Best Compliance Practices
Rogge Dunn Group, PC
Who Should Attend:
- Financial Advisers
- Investment Advisers
- In-house Counsel
- Securities Lawyers
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.
Print and review course materials
Method of Presentation:
Live Webcast; Group-Internet Based
General knowledge of broker-dealer regulations
NY Category of CLE Credit:
Areas of Professional Practice
NASBA Field of Study:
Specialized Knowledge – Technical
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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.