FINRA and Financial Advisors

“For top producing financial advisors, Rogge is the go-to guy in our industry. His experience and work ethic are unmatched. He is excellent at resolving or avoiding non-compete and non-solicitation disputes.”

-David Barnes
Barron’s top 100 financial advisor (Dallas)

“Rogge is a trusted Wall Street advisor.  Rogge helps relationship managers, investment bankers, branch managers, and executives.  When I decided to change firms, I put my trust in Rogge.”

“He is extremely knowledgeable, well-informed and thorough.  
Rogge facilitated a smooth and amicable transition.”

—Marc Reinganum, PhD
Former Head of Active Developed Market Equities, State Street Global Advisors (Boston)

“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
TOS Advisors (Houston)

“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)

“As a Brazilian citizen working in the U.S. and Brazil, dealing with American legal issues is a scary proposition. When I had a dispute with a broker-dealer, my Brazilian attorneys recommended Rogge.” 

“Rogge successfully resolved the issues with my old firm and helped make the transition to my new firm easy.”

“He took the time to explain all of my rights and the pros and cons of my legal options and he partnered well with my Brazilian counsel. Rogge gave me the advice I needed to make the right decisions.”

“And, it was convenient and efficient to have one attorney handle both my departure and my transition.”

—Edmundo Valente
Financial Advisor, GSM Financial Services (Sao Paulo)

“When I needed legal advice, I did my due diligence. Rogge was recommended by numerous FAs and lawyers. Rogge’s track record of taking FINRA arbitrations to trial was a hammer the investment bank respected. Rogge listened and, working together, we developed and implemented a successful strategy that achieved my goals in a cost-effective manner.”

-Monica Perez
Former Financial Advisor, DLJ and Credit Suisse (Pasadena)

“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)

“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)

“Helping relationship managers move firms requires careful consideration of promissory notes, deferred comp, non-competes, TROs and the Protocol for Broker Recruiting. As a former branch manager for UBS and now as a placement specialist, I’ve seen a number of attorneys assisting relationship managers. Rogge’s experience and knowledge in this space makes him the best choice for teams who are transitioning.  Not only does he give good advice, but when necessary, he is fearsome litigator who has successfully taken on the big wire houses and investment banks.”

-Chris Miller
Former Branch Manager, UBS (Houston)

“When I needed an inaccurate statement on my U-5 expunged, I interviewed several attorneys, they said “on the one hand this could happen, on the other hand that could happen.”  Rogge was different; he presented me with a firm game plan.  Rogge then quickly implemented the game plan and successfully obtained the expungement in less than 90 days.”

-Sean Lewis
Financial Advisor, Morgan Stanley (Dallas)

“Every entrepreneur who builds, runs and sells companies needs Rogge in his corner. I have truly enjoyed working with Rogge for the last 10+ years. He has helped me and my companies stay out of trouble.

“And, when liquidity events occur, Rogge helps maximize founders’ returns.”

-Matt McIntyre
Founder and Former Owner, Puritan Financial (Dallas)

“When it came time for me to retire from UBS after 53 years,  I wanted a thoughtful departure that took care of my clients and ensured that I received my deferred compensation and trailing commissions. I also needed help to be sure that despite officially retiring,  I would have the flexibility to provide consulting services to family offices and private equity firms without violating my non-compete and/or jeopardizing my deferred compensation and trailing commissions.”

“I did my due diligence and hired Rogge Dunn.  He has extensive experience helping financial advisors and executives with retirement and severance negotiations.  Rogge helped me achieve my goals in short order without exceeding the initial retainer I gave him.”

“Rogge, thank you again for the excellent guidance and support. Your sunny and positive attitude throughout the entire process was a great help.”

-Joe Liberty
Former Financial Advisor, UBS (Midland)