FINRA: Promulgating Tougher Sanctions Guidance for Rule Violations – A 2016 Update

Broadcast Date: Monday, September 26, 2016 from 3:00 pm to 5:00 pm (ET)
Henry I. Willett III
Rogge Dunn
Charles L. Bennett


About Christian & Barton LLP

Christian & Barton, L.L.P., maintains a broad-based civil practice, serving clients throughout the United States. Our offices are located in Richmond, the capital of Virginia. Our clients range from Fortune 500 companies to closely-held businesses, and include governmental entities, nonprofit organizations and individuals.  Many firm clients are entrepreneurs engaged in high technology businesses, financial services, real estate ventures and expanding professional groups.  Others engage in communications, health care, insurance and transportation.

One of Virginia's foremost firms, Christian & Barton traces its origins to 1926, when Andrew Christian and Robert Barton established a law practice to provide legal services at competitive rates while maintaining the highest professional standards.  We strive to maintain these traditions while evolving to meet the needs of our clients.


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. 


About Kunzman & Bollinger Inc.

Kunzman & Bollinger also represents FINRA members in connection with disciplinary actions initiated by the FINRA related to violations of its rules, and provides expertise and support to other law firms in connection with complex litigation involving alleged violations FINRA rules and federal statutes and regulations promulgated by the Securities & Exchange Commission (“SEC”).

The Firm also provides clients with institutional and retail compliance and risk management, due diligence investigations, and advice on structuring and distributing public and private oil and gas programs, business development companies and real estate investment programs.