FINRA Arbitration and Enforcement: What You Need to Know

Broadcast Date: Thursday, October 05, 2017 from 12:00 pm to 1:30 pm (ET)

About Clouse Dunn LLP

Clouse Dunn was founded by Rogge Dunn in 2002. The Firm handles business and employment law matters for Fortune 500 companies and executives, entrepreneurs and employees. The Firm has handled lawsuits, arbitrations and FINRA matters across the country. The Firm has been recognized as a top law firm in Texas and its Board Certified attorneys have been repeatedly honored as among the top 100 lawyers in Texas and top lawyers in Dallas by Texas Monthly and D Magazine.

Website: https://www.cdklawyers.com/

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.

Website: https://jenksharveylaw.com/

About Andersen PC

The firm also provides advice to broker-dealers, investment advisers, funding platforms and Title III funding portals, hedge funds and issuers of securities to ensure compliance with the federal securities laws and the standards required by the SEC, FINRA and the state securities regulators, including when raising capital over the internet under the JOBS Act.    In addition, the firm provides compliance advice concerning anti-money laundering (AML); the preparation of written supervisory procedures, including supervisory control procedures; independent testing, identifying weaknesses or vulnerabilities, and improving compliance programs; registration; compliance with new rules; meeting fiduciary duty standards and managing conflicts of interests; advertising, including social media; safe harbors and exemptions under the federal securities laws; the appropriateness and legality of certain compensation, fees, commissions and/or other charges; due diligence for offerings or products, including the sale of complex products to retail investors; and accredited investor verification.

In addition, for select engagements, the Firm represents broker-dealers and registered representatives in FINRA securities arbitration matters.

Website: https://www.finlawyer.com/

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