FINRA Arbitration and Enforcement in 2019 and Beyond: Hot Buttons to Consider

Broadcast Date: Wednesday, July 31, 2019 from 12:00 pm to 1:30 pm (ET)
six business persons having a discussion inside an office
Tracey Salmon-Smith
Debra Jenks
Rogge Dunn


About Drinker Biddle & Reath LLP

Drinker Biddle & Reath LLP is a national, full-service law firm providing litigation, regulatory and business solutions to public and private corporations, multinational Fortune 100 companies and start-ups. Building on a rich 168-year history, our more than 575 lawyers across 13 offices uphold a reputation for outstanding legal results, bringing a sophisticated, forward-thinking approach to every client engagement. Our attorneys defend clients in industries including financial services, education, health care, insurance, and retail, in arbitrations, litigations, regulatory enforcement matters, and regulatory examinations and in mediations before FINRA, JAMS, AAA, and other fora. Clients trust Drinker Biddle to deliver the counsel and insight needed to win complex litigations, close billion-dollar transactions and stay ahead of evolving regulations.


About Jenks & Harvey LLP

Jenks & Harvey LLP is involved in various aspects of securities arbitration and litigation, broker-dealer compliance, regulatory and enforcement defense, registration matters, and representation of registered persons in retail and employment matters.


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.