FINRA’s Heightened Sanction Guidelines: What To Expect in 2019

Broadcast Date: Wednesday, January 16, 2019 from 3:00 pm to 4:30 pm (ET)
Peter J. Tepley
Jeffrey Holik
Rogge Dunn


About Rumberger Kirk & Caldwell

Rumberger, Kirk & Caldwell provides litigation and counseling services in a wide range of civil practice areas including product liability, commercial litigation, construction, real estate, intellectual property litigation, securities litigation, financial services litigation, labor and employment law, bankruptcy, insurance coverage, professional liability and administrative law. Offices are located in Orlando, Tampa, Miami, Tallahassee and Birmingham.


About Renaissance Regulatory Services

Renaissance Regulatory Services (RRS) is founded on the premise that the financial services industry is constantly changing. New products and services, changing regulations and globalization create unique issues in compliance and operations for firms of all sizes and business models. To Manage Through Change, firms must have the ability to quickly recognize and respond to the compliance and operational challenges that arise.

We provide comprehensive compliance, operational consulting, and compliance support services to broker-dealers, investment advisers, hedge funds, and investment companies. Specializing in SEC and FINRA compliance examinations, written supervisory procedures, internal controls, financial reporting, and registration services, RRS’ staff has the experience and insight to meet all your regulatory and compliance needs. Services are customized to your organization’s operations and in most cases performed on site. RRS’ consultants and partners consist of former regulators and compliance professionals.


About Rogge Dunn Group, PC

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.