HomeWebcastFINRA Tougher Sanctions in 2019: What You Should Know and Do
Online CLE FINRA CLE

FINRA Tougher Sanctions in 2019: What You Should Know and Do

Live Webcast Date: Wednesday, June 19, 2019 at 3:00 pm - 5:00 pm (ET)
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Add Reminder to My Calendar 06/19/2019 2:00 pm 06/19/2019 5:00 pm America/New_York The Knowledge Group Webinar: FINRA Tougher Sanctions in 2019: What You Should Know and Do 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=96676\r\n The Financial Industry Regulatory Authority (FINRA) sanctions are expected to intensify in 2019 as the self-regulatory organization revises its Sanction Guidelines. The revision will reflect the amendments to General Principle No. 2 that advise adjudicators “to consider customer-initiated arbitrations that result in adverse arbitration awards or settlements”. In its Regulatory Notice 18-17, FINRA states that repeat violators should be imposed with “progressively escalating sanctions” to discourage future misconduct. \n \nIn this LIVE Webcast, a panel of distinguished professionals and thought leaders will help FINRA member firms understand the important aspects of this significant topic. They will provide an in-depth discussion of the recent updates and developments relating to FINRA’s enforcement actions in 2018 and their implications in 2019 and beyond. Speakers will also offer best practices in developing and implementing an effective compliance policy. \n \nKey topics include: \n \n \n Recent FINRA Enforcement Trends \n Revision to Sanction Guidelines \n Pitfalls and Risk Issues \n Best Compliance Practices \n Outlook for 2019 \n \n https://www.theknowledgegroup.org/webcasts/finra-tougher-sanctions-in-2019/

Online CLE FINRA

Join us for this Knowledge Group Online CLE FINRA Webinar. The Financial Industry Regulatory Authority (FINRA) sanctions are expected to intensify in 2019 as the self-regulatory organization revises its Sanction Guidelines. The revision will reflect the amendments to General Principle No. 2 that advise adjudicators “to consider customer-initiated arbitrations that result in adverse arbitration awards or settlements”. In its Regulatory Notice 18-17, FINRA states that repeat violators should be imposed with “progressively escalating sanctions” to discourage future misconduct.

In this LIVE Webcast, a panel of distinguished professionals and thought leaders will help FINRA member firms understand the important aspects of this significant topic. They will provide an in-depth discussion of the recent updates and developments relating to FINRA’s enforcement actions in 2018 and their implications in 2019 and beyond. Speakers will also offer best practices in developing and implementing an effective compliance policy.

Key topics include:

  • Recent FINRA Enforcement Trends
  • Revision to Sanction Guidelines
  • Pitfalls and Risk Issues
  • Best Compliance Practices
  • Outlook for 2019

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
Rogge Dunn
Partner
Rogge Dunn Group, PC

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Online CLE FINRA

SEGMENT 1:
Rogge Dunn, Partner
Rogge Dunn Group, PC

Online CLE FINRA

Online CLE FINRA

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

Course Level:
   Intermediate

Advance Preparation:
   Print and review course materials

Method Of Presentation:
   Live Webcast

Prerequisite:
   General knowledge of financial industry regulation

Course Code:
   147583

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.

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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