|Professional Liability, Securities Litigation and Arbitration, Securities Regulation and Compliance, Labor and Employment, Insurance Agent Litigation, Real Estate Agent Litigation, Mortgage Broker Litigation|
|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 over 25 years practicing. He has tried to conclusion over 60 cases including jury trials, bench trials and more than 25 arbitrations before FINRA and the NYSE regarding claims such as suitability, selling away, misrepresentation and churning. As well, Denis has argued over 30 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 has also 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. He has defended claims involving allegations of defamation, discrimination, and wrongful termination brought by former employees.
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 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. His practice also includes the defense of insurance agents and mortgage brokers in state and federal court and litigation of claims arising under ERISA.
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.