FINRA and Financial Advisors

We handle 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, Citi, BBVA, Morgan Stanley 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, RIAs and financial executives with severance, regulatory issues, letters of education and FINRA investigations.

Testimonials

“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)

“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)

“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 (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) 

Expertise backed by experience in the following areas:

  • Recovering Deferred Compensation

    Recovering Deferred Compensation

    We have a track record of recovering FAs/RMs deferred compensation forfeited by former employers. Currently, we represent more than 20 FAs/RMs pursuing claims for forfeited deferred compensation and other damages caused by Credit Suisse’s closure of its U.S. domestic private bank.

  • FINRA Arbitration

    FINRA Arbitration

    We have represented more than a dozen of Barron’s national top 100 financial advisors. We have obtained numerous FINRA arbitration awards and settlements in favor of our clients.

  • Transitioning Teams to New Firms

    Transitioning Teams to New Firms

    We help RIAs hire teams, and draft employment agreements, non-competes, and cease and desist letters.  Every year we move approximately 10 teams with an aggregate AUM in excess of $15 billion. We assist FAs, Branch Managers and financial executives protect their reputations, handle expungements and the marking and filing of U-4s and U-5s.

  • Other Financial Matters

    Other Financial Matters

    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.

Our Industry Connections and Breath of Representation

We assist execs at investment banks and other financial institutions in a variety of matters. Our clients include the CEO of Texas Capital Bancshares and financial institutions such as Beal Bank, Cigna Financial Advisors, BMC Capital,  and Union Square Credit Union.

Since we represent high level financial executives and Branch Managers, we know how management thinks, which provides insight helpful to the FAs/RMs we represent. When offices and divisions are closed or the subject of significant reductions-in-force, we take advantage of synergies whereby a Branch Manager client may be able to help our financial advisor client with information and vice versa. Our industry connections and breath of representation enable us to know many firms from the inside out.

FINRA News

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 Regarding Arbitration Claim Filed By His Client
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Rogge Dunn Quoted in AdvisorHub Article on Credit Suisse Doubling Down on Broker Litigation
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D Magazine Publishes Article by Rogge Dunn Covering FINRA Regulations That Stress Firm Transparency
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Rogge Dunn Quoted in AdvisorHub Article – Credit Suisse Wins $9 Million in UBS Raiding Case
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Rogge Dunn Quoted in AdvisorHub on Award Against Credit Suisse to Pay Two Brokers at Least $6.7 Million
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Rogge Dunn Quoted in D Magazine Article About FINRA Crackdown
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Rogge Dunn Speaking in Live Webcast| FINRA’S Heightened Sanction Guidelines: What to Expect in 2019
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Rogge Dunn Speaking in Live Webcast| FINRA’s Crackdown on High-Risk Brokers
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Dunn quoted on “Ex-Ameriprise Broker Seeks to Vacate Finra Panel’s ‘Note’ Award”
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Dunn Quoted on “Credit Suisse ‘Raid’ Case Against UBS Americas Marches On”
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Dunn quoted in Advisor Hub – “Brokers Sue Finra, Credit Suisse over Arbitration Shopping”
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Dunn Quoted in AdvisorHub on Impact of DOL Conflict-of-Interest Rule on Financial Advisors
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Rogge Dunn quoted on FINRA/Credit Suisse Arbitration Forum Shopping
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Rogge Dunn wins Claim for two Financial Advisors Against Goldman Sachs
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Our FINRA & Financial Advisor Clients

More than a dozen Barron’s Top 100 Financial Advisors

More than 20 Branch Managers & Executives at investment banks, wirehouses, and financial firms

ALM First Financial Advisors, LLC

BMC Capital

Cigna Financial Advisors

FINRA & Financial Results

Defended two FAs sued by Morgan Stanley on a $2.4 million promissory note. Obtained an $800,000 reduction of the promissory note in a FINRA arbitration (Florida)

Successfully moved relationship banker to new bank and defeated BBVA’s attempt to obtain a TRO against him and enforce a non-solicitation covenant

Ongoing advice and representation of two senior executives at Wells Fargo regarding issues at Wells Fargo

Ongoing representation of 21 financial advisors suing Credit Suisse for deferred compensation and defending those who Credit Suisse is suing for repayment of promissory notes

Obtained expungement in 84 days for a financial advisor that Morgan Stanley who manages $1+ Billion in AUM

Defended Barron’s national top 100 financial advisors team sued in FINRA arb for $1.5+ million on promissory note. Settled the prom note claim against all three clients for payment of only $1,000

$925,000 settlement in FINRA arbitration for Barron’s national top 100 financial advisor fired by Wall Street firm (Client’s net $610,000)

Won $1 million FINRA arbitration award for fired Los Angeles Barron’s national top 100 financial advisors against Goldman Sachs (Client’s net $580,000) (California)

$1,722,750 settlement for Branch Manager of Wall Street financial firm with $60+ billion market cap (Client’s net $1,682,750)

Won $2.5 million FINRA arbitration award in San Francisco for a fired Barron’s national top 100 financial advisors (Client’s net $1,300,000) (California)

$6.1 million severance package and negotiated succession plan for Chairman/CEO of a bank with more than $11 billion in assets

$7,556,900 FINRA arbitration award for two financial advisors against Goldman Sachs for violating USERRA and for wrongful discharge (California) (Clients’ net $3,118,141)

Disclaimer: Results obtained depend on the facts of each case. Past achievements are no guarantee of future results.

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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