Rogge Dunn Quoted in Financial Advisor on Credit Suisse Mishandling Discharge

Because of the way a firm handled his discharge back in October 2015, Credit Sussie will pay a former broker about $3.4 million. The Finra arbitration award found the total stems from compensatory damages plus interest, attorneys’ fees, the voiding of promissory notes, and hearing costs.

Barnes’ attorney, Rogge Dunn of Rogge Dunn Group in Dallas, said the award was particularly gratifying because it included the $20,000 in sanctions and dismissed Credit Suisse’s counterclaim that Barnes owed the outstanding balance of a promissory note.

“The takeaway to Wall Street firms is that Finra arbitrators are not afraid to hold firms accountable and award big numbers when they mistreat advisors, including voiding a promissory note,” he said. “To totally throw out a prom note is rare.”

Read the full article here.

MEDIA

Stifel’s Raiding Suit Against RIA Adds to Pile of High-Stakes Claims
READ MORE
Rogge’s Roundup: Several developments in January are of interest to financial advisors – February 16, 2023
READ MORE
Rogge Dunn Quoted in Dallas Morning News Article on Dallas-Based HMS CEO Accused of Sexual Assault
READ MORE
Fort Worth Star-Telegram Exposes Sexual Abuses by North Texas Mental Health Administrator Detailed in Lawsuit Filed by Rogge Dunn Group
READ MORE
Rogge Dunn Quoted in Financial Advisor on Credit Suisse Mishandling Discharge
READ MORE
Rogge Dunn Quoted in Dallas Morning News Article Following Roe V. Wade Being Overturned
READ MORE
Employee Discrimination in the Workplace
READ MORE
Rogge Dunn Quoted in Yahoo Article on Tesla Racial Bias Case
READ MORE
Rogge Dunn Quoted in AdvisorHub Article on Stephens, Inc Arbitration Case
READ MORE
RDG WINS JURY VERDICT AND ATTORNEYS’ FEE AWARD ($1.9M) FOR CEO CLIENT
READ MORE
Bullying in the Workplace
READ MORE
Unfair Pay and Compensation in the MLB
READ MORE
Trans Athletes
READ MORE
Reverse Racism in the Workplace
READ MORE
Rogge Dunn Quoted in Dallas Morning News Article on Testing Unvaccinated Employees Under New Vaccine Mandate
READ MORE
Sex Discrimination at Work
READ MORE

Contact Us Today!

Contact us to learn how we can help answer your legal questions.

FILL OUT FORM