Arbitration

Arbitration is a form of alternative dispute resolution where parties refer their matter to one or more neutral arbitrators for a binding determination.  The neutral arbitrator reviews the evidence and renders a decision that is legally binding. The use of arbitration is often mandated by the terms of employment or commercial contracts. Even without an arbitration agreement, parties may also voluntarily submit their dispute to arbitration.

Parties select arbitration as a method to achieve faster resolution of their disputes, as well as perceived cost savings over traditional litigation. Parties can select arbitrators with specific expertise in a subject matter.

Lawyers in our Firm have extensive experience with arbitrations all across the country.  Our Firm’s lawyers have arbitrated with numerous entities including the AAA, FINRA, the NLRB, JAMS, Arbitration Forums, Inc. and other private arbitration entities.

Indeed, one of our partners, Josh Iacuone, is a licensed FINRA arbitrator.  The knowledge we gain from having a licensed arbitrator at our Firm helps us understand the process from the “inside-out.”

Dunn and his team have won numerous arbitration awards for their Plaintiff clients.  And, the Firm’s lawyers have defeated plaintiffs’ claims for our Defendant clients.

Testimonials

“For many years Rogge has helped CBRE successfully resolve significant litigation and arbitration matters.”


—Ellis Reiter, Jr.
Former General Counsel, Litigation, CBRE (Los Angeles)

“Thank you for your advice and assistance on a number of matters over the years.  Your experience in California, your knowledge of FINRA and your connections in the financial industry helped me successfully resolve my ADA dispute, which was seriously compromising my health.   While I understand not all of your clients rely on you to fight for them when their health is on the line, your genuine concern for me as a person, literally saved my life.  You were always responsive, regardless of your schedule and your work ethic is amazing.  Your tenacity and skills during mediation and arbitration makes you particularly effective.  I am eternally grateful!”


-Bryan Whang
Managing Partner of Jupiter View Capital, Financial Advisor formerly with Goldman Sachs and UBS (Park City)

“Fighting off enforcement of a large promissory note by a big firm is tough.  The odds are skewed in favor of the firms.  When I had to do battle with my old firm, I hired Rogge.  He was committed to going all the way.

Rogge shines in trial; he carved up my former Branch Manager on the witness stand during the trial.  Rogge’s cross-examination was not only fun to watch, but enabled me to win a 1/3 reduction of the amount my old firm was seeking.

After the arbitration, Rogge stuck with me and wrote off a substantial portion of his fees.  He then assisted me for free with additional legal strategies that wiped out the rest that I owed without me having to pay anything on the promissory note.

Rogge, many thanks for a job well done.  I’d go into battle with you anytime.”


-Rich Dwyer
Financial Advisor, Merrill Lynch (Orlando)

“As a former branch manager at UBS, who has worked on capital raises, and now as a Partner in an RIA, I have worked with dozens of attorneys in the financial industry/private equity space.  Rogge is widely recognized as one of the best attorneys in this field and an exceptional trial lawyer–if a FINRA arbitration or a lawsuit is necessary.

Over the years I have hired Rogge on numerous occasions, including representing a team Goldman Sachs was suing in court that was moving to my firm. And I’ve hired him to defend a registered representative under  investigation by FINRA.   

When I was wrongfully sued in Louisiana,  Rogge found me a Louisiana attorney who got the lawsuit transferred to Houston.  Then Rogge went to work.  He won an Anti-Slapp ruling awarding me all my attorney’s fees against the other side.  The case then quickly settled in my favor.”


-Ray DiNunzio
Partner, Fall Line Securities (Houston)

Speeches and Seminars on Arbitration

Speaker, “FINRA Arbitration and Enforcement in 2019 and Beyond: Hot Buttons to Consider,” Knowledge Group (Webcast, 2019) View here

Speaker, “FINRA Arbitrations: A Comprehensive Guide for 2018 and Beyond,” Knowledge Group (Webcast, 2018)

Speaker, “Recent Developments in the FINRA Codes of Arbitration Procedure: What You Need to Know Live Webcast,” Knowledge Group (Webcast, 2017)

Speaker, “FINRA Arbitration and Enforcement: What You Need to Know,” Knowledge Group (Webcast, 2017)

Speaker, “Persuading the Arbitration Panel: Keys to Make the Winning Presentation at the Hearing,” Center for International Legal Studies, Emerging Trends in Dispute Resolution Law (Steamboat Springs, 2007)

Speaker, “Cutting Edge Issues in Arbitration and Practical Tips,” Dallas Bar Association Friday Clinic seminar (Dallas, 1998). View document

Speaker, “FINRA: Promulgating Tougher Sanctions Guidance for Rule Violations – A 2016 Update,” Knowledge Group (Webcast, 2016)

“Fifth Circuit Holds OWBPA Does Not Apply to Arbitration Agreements,” Personnel Law Update (Publication, 1996)

“Arbitration: The Cost Effective Solution to the Explosion of Employment Lawsuit,” Personnel Law Update (Publication, 1996)

“Arbitration vs. Litigation: It’s no Contest,” Texas Lawyer (Publication, 1997)

“Pushing the Arbitration Envelope,” Texas Lawyer (Publication, 1999)

Over Three Decades of Arbitration Experience

Dunn began handling arbitration cases in the 1980’s, when arbitration was a new, novel and cutting-edge concept.  Arbitration cases he handled that are significant enough to become reported decisions can be found below.

Reported Cases: Arbitration

Jairus Abraham Pegues v. PGW Auto Glass, L.L.C.; Adecco USA, Inc., 451 Fed.Appx. 417 (5th Cir. 2011)

Arthur Williams v. Cigna Financial Advisors, 197 F3d 752 (5th Cir. 1999); 81 Fair Empl. Prac. Cas. (BNA) 747; 77 Empl. Prac. Dec. ¶46,359

Arthur Williams v. Cigna Financial Advisors, 56 Fd 656 (5th Cir. 1995); 68 Fair Empl.Prac.Case (BNA) 65,66; Empl. Prac. Dec ¶43,601; 19 Employee Benefits Cas. 1751

Weston v. ITT-CFC, 8 I.E.R. Cases 503 (N.D. Texas 1992)

MEDIA

Rogge Dunn Interviewed on CBS This Morning Regarding Title IX Issues
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California Law Affects How Student-Athletes Are Compensated
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Updates to Overtime Rule
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Rogge Dunn Quoted In D Magazine Article About FINRA’s Proposed Rule and the Resulting Obligations on Firms with a History of Misconduct
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Rogge Dunn Quoted in AdvisorHub Article – Finra Suspends Ex-Wells Fargo Broker over Personal Email Use
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Rogge Dunn Quoted in AdvisorHub Article Regarding Arbitration Claim Filed By His Client
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Fair Compensation for Female Executives: Insight from an Executive Compensation Attorney
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Rogge Dunn Quoted in SportsDay Article on the use of LLCs by College Football Coaches
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Rogge Dunn Quoted in AdvisorHub Article – Schwab Pursues Nebraska Broker Who Went Independent
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Joshua Iacuone interview on Fox4 News | Baylor Sex Assaults Scandal
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Rogge Dunn Quoted in AdvisorHub Article on Credit Suisse Doubling Down on Broker Litigation
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Summary of Texas Commission and Bonus Laws
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Rogge Dunn Featured in CBS 11 Story About Southwest Airlines Dispute
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Rogge Dunn Group Fights to Take Mark Cuban’s Deposition
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Outback Steakhouse Honors Rogge Dunn
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Rogge Dunn Group Hosts D CEO Real Estate Annual Release Party
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