FINRA Arbitration Hot Topics for 2020: Updates You Should Know

Robert concentrates his practice in securities litigation, arbitration and regulation. He has represented major brokerage firms and financial institutions, directors, officers, and financial advisors, in complex litigation in both state and federal courts, and FINRA arbitration.

Robert also defends financial institutions and individuals in regulatory proceedings before the SEC, FINRA, and state regulatory authorities. Additionally, Robert represents individual and institutional investors who have suffered monetary losses as the result of securities fraud. Robert began his career with the United States Navy, where he served on active duty from 1986-1990 as a Navy Judge Advocate and Special Assistant U.S. Attorney. After leaving active duty, he entered private practice in Chicago, Illinois, specializing in the areas personal injury defense and insurance coverage.

Peter Tepley is a partner in the Birmingham office of RumbergerKirk. Tepley frequently represents securities broker dealers, including clearing brokers, and their registered representatives in customer, employment, and industry disputes in FINRA arbitrations as well as state and federal courts. He also represents public and private companies and their officers and directors in a variety of complex business disputes, including business torts and breach of contract cases. He defends businesses and individual officers and directors in class actions, including securities class actions.

Joe have been a licensed attorney since November 2009 and been with Stoltmann Law Offices since March 2005. Prior to Stoltmann Law Offices, he had a short stint as a paralegal with a Chicago securities defense firm. He is currently managing partner at Stoltmann Law Offices and responsible for the day to day operations of the firm, docket, and case management. Personally, he handle all aspects of case management from potential client/case intake to trying the case. He have represented investors in at least 500 FINRA arbitrations, dozens of AAA or JAMS arbitrations, and in numerous investor class actions and other investor related litigation.

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.