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

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

Live Webcast Date: Wednesday, July 31, 2019 from 12:00 pm to 2:00 pm (ET)
CLE Alternative Dispute ResolutionFinancial Industry CLE & CPELive Webcast
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Add Reminder to My Calendar 07/31/2019 11:00 am 07/31/2019 2:00 pm America/New_York The Knowledge Group Webinar: FINRA Arbitration and Enforcement in 2019 and Beyond: Hot Buttons to Consider The event starts in an hour. If you have not registered, please go to the link below to sign up today.https://www.theknowledgegroup.org/checkout/?add-to-cart=127229\r\n For the past years, the Financial Industry Regulatory Authority’s (FINRA) arbitration process and enforcement trends have undergone significant modifications. Recent and proposed changes are dealing with an array of materially new issues focusing on online distribution platforms, and compliance with FinCEN’s Customer Due Diligence (CDD) rule, as well as with the firm’s mark-up disclosure obligations. \n \nWith all the emerging issues, it becomes important for companies and their counsel to be in the know with all the latest trends and developments surrounding this area of law to ensure compliance and obviate potential risks. \n \nIn this LIVE Webcast, a seasoned panel of thought leaders and professionals brought together by The Knowledge Group will provide and present to the audience an in-depth analysis of the fundamentals as well as recent developments in FINRA Arbitration and Enforcement. Speakers will also present best practices and key compliance tools in light of the recent developments. \n \nSome of the major topics that will be covered in this course are: \n \n \n FINRA Arbitration and Enforcement in the 2019 Landscape \n Legal and Regulatory Outlook \n Recent Trends, Developments, and Updates \n Key Compliance Tools \n What Lies Ahead \n \n https://www.theknowledgegroup.org/webcasts/finra-arbitration-and-enforcement-2019/

Online CLE FINRA Arbitration

Join us for this Knowledge Group Online CLE FINRA Arbitration Webinar. For the past years, the Financial Industry Regulatory Authority’s (FINRA) arbitration process and enforcement trends have undergone significant modifications. Recent and proposed changes are dealing with an array of materially new issues focusing on online distribution platforms, and compliance with FinCEN’s Customer Due Diligence (CDD) rule, as well as with the firm’s mark-up disclosure obligations.

With all the emerging issues, it becomes important for companies and their counsel to be in the know with all the latest trends and developments surrounding this area of law to ensure compliance and obviate potential risks.

In this LIVE Webcast, a seasoned panel of thought leaders and professionals brought together by The Knowledge Group will provide and present to the audience an in-depth analysis of the fundamentals as well as recent developments in FINRA Arbitration and Enforcement. Speakers will also present best practices and key compliance tools in light of the recent developments.

Some of the major topics that will be covered in this course are:

  • FINRA Arbitration and Enforcement in the 2019 Landscape
  • Legal and Regulatory Outlook
  • Recent Trends, Developments, and Updates
  • Key Compliance Tools
  • What Lies Ahead

Who Should Attend

  • Financial Crime Attorneys & Consultants
  • Finance Lawyers
  • Corporate Governance Attorneys
  • Banking & Finance Attorneys
  • Investment Attorneys
  • M&A Attorneys
  • Securities Attorneys
  • Financial Executives & Officers
  • Bank and Financial Executives
  • Legal and Compliance Executives
  • Broker-dealer Firms
  • Other related & Interested Professionals

Faculty

Online CLE FINRA Arbitration
Debra Jenks
Partner
Jenks & Harvey LLP
Online CLE FINRA Arbitration
Rogge Dunn
Partner
Rogge Dunn Group, PC

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Online CLE FINRA Arbitration

Debra Jenks, Partner
Jenks & Harvey LLP

Rogge Dunn, Partner
Rogge Dunn Group, PC

Online CLE FINRA Arbitration

Online CLE FINRA Arbitration

Debra JenksPartnerJenks & Harvey LLP

Ms. Jenks has over 30 years of legal experience representing financial institutions, wirehouses, independent broker-dealers, insured broker-dealers, investment professionals, officers and directors, and financial advisers in retail, industry, and employment disputes as well as in compliance and regulatory matters. She defends registered persons and entities in regulatory matters. She has represented retail and institutional investors in securities matters and arbitration.

Online CLE FINRA Arbitration

Rogge DunnPartnerRogge Dunn Group, PC

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.

Online CLE FINRA Arbitration

Course Level:
   Intermediate

Advance Preparation:
   Print and review course materials

Method Of Presentation:
   Live Webcast

Prerequisite:
   General knowledge of financial industry regulation

Course Code:
   148169

NY Category of CLE Credit:
   Areas of Professional Practice

Total Credits:
    2.0 CLE

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About the Knowledge Group

The Knowledge Group

The Knowledge Group has been a leading global provider of Continuing Education (CLE, CPE) for over 13 Years. We produce over 450 LIVE webcasts annually and have a catalog of over 4,000 on-demand courses.

About the Knowledge Group

The Knowledge Group

The Knowledge Group has been a leading global provider of Continuing Education (CLE, CPE) for over 13 Years. We produce over 450 LIVE webcasts annually and have a catalog of over 4,000 on-demand courses.

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.

Website: https://jenksharveylaw.com/

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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