FINRA and Financial Advisors

“Taking an executive position in a foreign company and working overseas requires the advice of a lawyer who understands the novel and complicated issues involved. Rogge, thanks for making my transition from PepsiCo to Alibaba successful.”

—Jim Wilkinson
Former Chief of Staff for Treasury Secretary Henry Paulson, Former SVP and Head of Int’l Corporate Affairs, Alibaba (China)

“When it came time to sell our company, I needed an attorney experienced in liquidity events who also had a reputation as a tough litigator, in case the sale had to be resolved in the courtroom.”

“I did my due diligence and Rogge came highly recommended. Entrepreneurs trust Rogge.”

—Angela Calvert
Former Owner and Member, ALM First Financial Advisors, LLC (Dallas)

“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)

“Rogge has a well-deserved reputation for successful representation of top brokers across the country. His track record of helping teams negotiate favorable contracts, fight off non-compete lawsuits, stop defamation and win back millions in forfeited deferred compensation is second to none. He has won some of the biggest, hardest fought arbitrations for Barron’s top 100 brokers.”

“Rogge knows the brokerage business, which is why so many top broker teams from coast to coast have hired him when they are formulating an exit strategy.”

-Eric Gershman
CEO, Consultants Period (Stowe)

“Rogge Dunn has always been extremely helpful and 100% honorable in all my interactions with him, and with the advice he has given me through the years.”

-Glenn Taylor
Owner, Taylor Steele & Associates, Broker Recruiter (Los Angeles)

“We value Rogge’s financial industry experience and his practical approach. We trust him for advice and, when necessary, to handle our litigation.”

-Carl Esrey
Founder of BMC Capital and CEO of BMC Bancshares (Dallas)