Denis C. Dice

Practice Areas:

Professional Liability, Securities Litigation and Arbitration, Securities Regulation and Compliance, Labor and Employment, Insurance Agent Litigation, Real Estate Agent Litigation, Mortgage Broker Litigation, Health and Life, Commercial and Business Litigation
Office Location: Philadelphia
Tel: (215) 433-1500 Fax: (215) 433-1501


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Denis C. Dice is the managing partner of the Philadelphia office of Winget, Spadafora & Schwartzberg, LLP. Denis has been practicing for over 25 years. He has tried to conclusion over 70 cases including jury trials, bench trials and more than 30 arbitrations before FINRA and the NYSE regarding claims such as suitability, selling away, misrepresentation and churning. As well, Denis has argued over 35 federal and state court injunctive hearings involving claims of misappropriation of trade secrets and breach of non-solicitation and non-compete contracts of individual Registered Representatives. He also represents clients in regulatory enforcement matters initiated by the SEC and FINRA.

Denis also has extensive experience in the area of professional liability defense. He has defended accountants, auditors, attorneys, law firms, estate planners, real estate agents, insurance agents, and mortgage brokers against claims including negligence, breach of contract and fraud. Denis has significant employment law experience having litigated claims of discrimination, defamation, wrongful termination, and other employment law issues in federal court and in arbitration.

Denis has successfully defended class actions involving many diverse and complicated issues. He has litigated claims involving a wide spectrum of investments including CMOs, UITs, options, REITS, private placements, variable annuities, limited partnerships, mutual funds (bonds and stocks), individual equities and debt. Denis handles litigation involving complex estate planning tools such as Charitable Remainder Unit Trusts and Irrevocable Life Insurance Trusts which own variable, universal and whole life policies.

Various entities have asked Denis to speak on topics involving securities litigation/arbitration matters, and Denis was the securities industry defense counsel representation for the FINRA Spring 2004 Conference on the topic of securities arbitration and mediation. He is an arbitrator for FINRA and is rated AV® Preeminent™ by Martindale-Hubbell®, the highest possible rating. Denis has been quoted in publications such as the New Jersey Law Journal and Crains regarding securities litigation cases.

Denis' background also includes active duty in the United States Marine Corps, Judge Advocate General Corps where he served as a Captain at Camp LeJeune, North Carolina, home of the Second Marine Division. While a member of the Marine Corps JAG, he tried numerous major jury and misdemeanor criminal cases while serving as trial counsel.

After earning his Juris Doctor from the Catholic University of America, Columbus School of Law, in Washington, District of Columbia, Denis earned his LLM in Taxation from Villanova University Graduate Tax Program. His studies concentrated in tax planning related to investments, qualified retirement and other employee benefit plans (ERISA), estate planning, federal wealth transfer, taxation and tax planning for closely held businesses.

Denis is admitted to practice law in Pennsylvania and District of Columbia State courts. He is also admitted to practice before the United States Court of Appeals for the Third Circuit, and the United States Districts courts for the Eastern and Western Districts of Pennsylvania.

Representative Decisions

  • Basil v. Chubb Securities, Inc., 1998 WL 88399 (U. S. District Court Eastern District of Pennsylvania 1998)
  • Gray v. Tucker Anthony, Inc., NYSE Docket No. 1997-6512 (1997)
  • Baggesen v. Securities America, Inc., 02-CV-4001 (U.S.D.C. Mass.), 02-CV-4001 (U.S.D.C. Mass.)
  • Hirsch v. Securities America, Inc., NJ A-5637-10 (August 7, 2013)


  • Complex Product Policies and Procedures, Panelist, Financial Services Institute (FSI) OneVoice Conference, January 24, 2017
  • Managing Risk & Protecting Your Practice, Panelist, FSI Forum 2016: Navigating a Post-DOL Fiduciary World, September 26, 2016
  • Recent Trends Regarding Claims Against Broker-Dealers, Panelist, E&O Insurance ExecuSummit, June 16, 2015
  • Securities Litigation & Regulatory Update, Broker-Dealer and SEC Panelist, Pennsylvania Bar Institute, November 2014
  • What You Did Not Know About Transitioning A Book Of Business, FSI Annual Conference, Spring 2011
  • Expungement, FINRA Claim Statistics and Claims By Senior and Broker Protocol, Speaker, Third Quarter FSI Seminar, 2009
  • First Quarter Compliance Seminar on Mutual Fund Share Classes, FSI Seminar, 2006


  • "Inside the Minds Series," Thompson Reuters Westlaw 2014, Chapter contributor, New Developments in Securities Litigation