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Overview:

The emergence of the COVID-19 pandemic presented a myriad of challenges to the broker-dealer industry. Primarily, it has prompted a heightened risk of fraudulent activities in the U.S. and has opened an avenue for other COVID-19-related scams. With this, the Financial Industry Regulatory Authority (FINRA) established a COVID Fraud Task Force to monitor and mitigate potential fraud in the broker-dealer industry and U.S. markets.

As the regulatory paradigm remains uncertain, brokerage firms must be wary and vigilant of potential risk issues. They must also keep themselves in the loop of emerging developments to avoid drawbacks.

In a LIVE Webcast, trial attorney and corporate counsel Rogge Dunn (Rogge Dunn Group, PC) will provide a comprehensive discussion of the recent trends and developments in broker-dealer regulation during the COVID-19 pandemic. The speaker will also offer practical tips to avoid pitfalls and ensure compliance in this evolving climate.

Key issues include:

  • Broker-Dealer Regulation: Trends and Updates
  • FINRA’s Examination Priorities on Broker-Dealers
  • COVID-19 Implications
  • Addressing Legal Risks and Pitfalls
  • Best Compliance Practices

Credit:

Course Level:

Intermediate

 

Advance Preparation:

Print and review course materials

 

Method of Presentation:

On-demand Webcast (CLE); Group-Internet Based

 

Prerequisite:

General knowledge of broker-dealer regulations

 

Course Code:

149055

 

NY Category of CLE Credit:

Areas of Professional Practice

 

NASBA Field of Study:

Specialized Knowledge – Technical

 

Total Credit:

1.0 CLE

1.0 CPE (Not eligible for QAS (On-demand) CPE credits)


CLE State Requirements:

https://knowledgewebcasts.com/cle-state-requirements/

Speaker:

Rogge Dunn, Managing Partner
Rogge Dunn Group, PC

Rogge Dunn is a trial attorney and counselor for Fortune 500 companies, wirehouses and prominent Financial Advisors, executives and entrepreneurs.  Dunn has developed a specialty involving significant matters in the financial industry.  This includes regulatory issues, wrongful discharge, moving teams, OTRs, non-competes, the Protocol for Broker Recruiting, promissory note defense and forfeiture of deferred compensation.

He has twice set the largest wrongful discharge arbitration award against Goldman Sachs for FAs in California.  (Breaking Dunn’s own record).  Most recently he obtained a $7.6 million Award against Goldman Sachs in a FINRA arbitration in Los Angeles.

Dunn has won more than $2 billion in judgments and settlements for his clients.  He has represented more than 10 FAs in Barron’s national top 100 financial advisors.  Dunn has won million dollar jury verdicts or arbitration awards in California, Texas, Louisiana and Arkansas.

Agenda:

Rogge DunnManaging Partner

Rogge Dunn Group, PC

  • Covid has ushered in numerous significant changes on how successful Firms and FAs are conducting advisory business
  • Surveys and data show what clients now expect from Firms and FAs
  • If you cannot adapt to the new way of conducting business,  you will lose clients and the competitive edge in prospecting
  • The new strategies are here to stay even after Covid is under control.
  • Social media is a great prospecting tool,  but involves compliance and legal risks

Date & Time:

Tuesday, January 26, 2021

12:00 pm to 1:00 pm (ET)

Materials:

Download Course Materials

Who Should Attend:

  • Broker-Dealers
  • Investors
  • Financial Advisers
  • Investment Advisers
  • In-house Counsel
  • Securities Lawyers
ImageNameCategory

SPEAKER

Rogge DunnManaging Partner
Rogge Dunn Group, PC

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