Rogge Dunn in Advisor Hub Article

Rogge Dunn Quoted in AdvisorHub Article – Schwab Pursues Nebraska Broker Who Went Independent

Facebook
LinkedIn
Twitter

The article reads:

Charles Schwab & Co. has filed another lawsuit in an attempt to block a departing broker from contacting former clients.

The San Francisco-based discount brokerage pioneer, which has been moving into full-service advice, on Friday asked a federal court in Nebraska to issue a preliminary injunction against David Joseph Spiess.
The advisor had spent his entire 22-year brokerage career with Schwab before resigning on August 16 to start his own investment firm, according to a complaint filed in U.S. District Court for the District of Nebraska, Omaha Division.

Spiess, whose BrokerCheck record does not yet record his departure from Schwab, did not respond to requests for comment. The Schwab complaint does not name the business he reputedly is starting.

To see the full article, click here.

Rogge Dunn Quoted in Advisor Hub Article

MEDIA

Compliance Insight From a Lawyer for Financial Advisors
READ MORE
D Magazine Publishes Article by Rogge Dunn on How to Avoid Liabilities at Company Holiday Parties
READ MORE
Firm Partner Brian P. Shaw Secures Client Victory in Bankruptcy Proceeding
READ MORE
Dec. 13, 2019: Rogge Dunn To Speak at The Knowledge Group’s Live Webcast, “FINRA Arbitration Hot Topics for 2020: Updates You Should Know.”
READ MORE
Dec. 5, 2019: John Lynch To Speak at Belo Mansion, “The University of Dallas: Why It’s a Great Undergraduate Choice for Aspiring Lawyers.”
READ MORE
Rogge Dunn Interviewed on WFAA About Cancer in Firefighters
READ MORE
Rogge Dunn Group Recognized by U.S. News – Best Lawyers® as a “Best Law Firm” of 2020
READ MORE
Rogge Dunn Interviewed on CBS This Morning Regarding Title IX Issues
READ MORE
California Law Affects How Student-Athletes Are Compensated
READ MORE
Updates to Overtime Rule
READ MORE
Rogge Dunn Quoted In D Magazine Article About FINRA’s Proposed Rule and the Resulting Obligations on Firms with a History of Misconduct
READ MORE
Rogge Dunn Quoted in AdvisorHub Article – Finra Suspends Ex-Wells Fargo Broker over Personal Email Use
READ MORE
Rogge Dunn Quoted in AdvisorHub Article Regarding Arbitration Claim Filed By His Client
READ MORE
Fair Compensation for Female Executives: Insight from an Executive Compensation Attorney
READ MORE
Rogge Dunn Quoted in SportsDay Article on the use of LLCs by College Football Coaches
READ MORE
Rogge Dunn Quoted in AdvisorHub Article – Schwab Pursues Nebraska Broker Who Went Independent
READ MORE

Contact Us Today!

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

FILL OUT FORM