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Dunn has extensive experience representing financial advisors in all types of contract, non-compete, recruiting and other FINRA matters. These include negotiating severance packages, pursuing claims for forfeited deferred compensation, defending claims for un-repaid loans, defeating non-compete actions and pursuing defamation claims. Dunn has also assisted financial advisors being investigated by their employers or regulatory authorities and protecting a financial advisors’ right to a “clean” U-4 and expunging negative entries on a U-4.
Three of Barron’s top 100 financial advisors have hired Dunn to pursue claims against their former employers in FINRA arbitrations. Dunn obtained the highest arbitration award against Goldman Sachs for a departed financial advisor, $2.5 million in San Francisco. He also won a $1 million arbitration award for a financial advisor in Los Angeles and numerous six figure settlements for financial advisors.
Teams from around the country have hired Dunn to assist them in formulating an exit strategy and to be sure that they comply with a Protocol for Broker Recruiting and depart in a professional and legal manner.
Dunn was quoted in a recent article in Research Magazine discussing financial advisors and brokers negotiating their own deals without the use of recruiters. Dunn discussed legal issues facing financial advisor teams preparing to switch firms. Jane Rusoff, "Sick of Recruiters: Financial Advisors Find They Can Negotiate Their Own Deals," Research Magazine, May 2010, page 47.
"Rogge has a well-deserved reputation for successful representation of top FA's 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 financial advisors."
"Rogge knows the financial advisor and investment industry, which is why so many top FA teams from coast to coast have hired him when they are formulating an exit strategy."
---- Eric Gershman, CEO
Consultants Period
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