finra sanction guidelines

Rogge Dunn Speaking in Live Webcast | FINRA’S Heightened Sanction Guidelines: What to Expect in 2019

Rogge Dunn will be speaking on FINRA sanction guidelines during a live webcast hosted by Knowledge Group on January 16, 2019 at 3:00 p.m. – 5:00 p.m. (ET).

The title of the webcast is “FINRA’s Heightened Sanction Guidelines: What To Expect in 2019”

Register Here

Rogge Dunn will cover the updated FINRA sanction guidelines and what to expect moving forward.

Key topics include:

  • FINRA’s Sanction Guidelines:  An Overview
  • Recent Trends and Developments in FINRA’s Sanction Guidelines
  • Common Pitfalls and Risk Issues
  • Risk Mitigation Techniques and Best Practices
  • What Lies Ahead

Please note, complimentary passes are available for the first 30 registrants. Once all of the passes are used, attendees can register for the deeply discounted rate of $25 each courtesy of Rogge Dunn Group, PC.

Discount code ROGGEDUNN147607

 Register Now!

MEDIA

Rogge Dunn Weighs in on Whataburger Discrimination Complaint on Fox 4 News
READ MORE
Employee Rights in Texas
READ MORE
Rogge Dunn Group, PC Receives “2020 Texas Legal Awards Litigation Department of the Year – Small Firm” Award by Texas Lawyer
READ MORE
The Role of the Plaintiff’s Employment Lawyer Before a Lawsuit
READ MORE
The Texas Lawbook Interviews Rogge Dunn on Wage and Hour Litigation Increases
READ MORE
Dec. 1, 2020: Rogge Dunn to Speak in LIVE CLE Webcast on Demystifying the Current Landscape of Broker-Dealers Amidst the COVID-19 Pandemic: What You Must Know and Do
READ MORE
Rogge Dunn Group Attorneys Nationally Recognized in Best Lawyers in America 2021 Edition
READ MORE
The Real Estate Investor Guide to Finder’s Fees – Insight from a Real Estate Lawyer
READ MORE
COVID-19 Continues to Create Employment Issues
READ MORE
Rogge Dunn Interviewed by AdvisorHub on Multi-Million Comp Award to Former Credit Suisse Brokers
READ MORE
How a FINRA Compliance Lawyer Can Help
READ MORE
CoStar News Interviews Rogge Dunn on Pandemic-Related Layoffs
READ MORE
Rogge Dunn Group Represents Ex-CFO Allegedly Fired for Whistleblowing
READ MORE
Rogge Dunn Interviewed on WFAA Regarding COVID-19 in the Workplace
READ MORE
Aug. 20, 2020: Rogge Dunn to Speak in Live CLE Webcast on How To Manage and Resolve Complex Commercial Disputes
READ MORE
Big Changes for Title IX: New Title IX Requirements
READ MORE

Contact Us Today!

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

FILL OUT FORM