Attorneys

Michael Schwartzberg

Practice Areas:

Securities Litigation and Arbitration, Securities Regulation and Compliance, Professional Liability Litigation, Labor and Employment, Contract Advisory Services
Office Locations: New York
Tel: (212) 221-6900 Fax: (212) 221-6989

Email: Schwartzberg.M@wssllp.com

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Michael Schwartzberg is a co-managing partner of Winget, Spadafora & Schwartzberg, LLP. Mr. Schwartzberg’s practice focuses primarily on the litigation and arbitration of corporate and commercial disputes, with an emphasis on securities-related claims. Mr. Schwartzberg has substantial experience representing securities broker-dealers, registered representatives and other professionals throughout the United States in a wide array of customer and industry disputes before the Financial Industry Regulatory Authority (“FINRA”), as well as various state and federal courts. In addition, Mr. Schwartzberg has substantial experience handling regulatory investigations and proceedings, as well as advising clients on securities industry agreements.

Mr. Schwartzberg is a 1986 graduate of Cornell University, where he earned his B.S. in economics. He attended the Benjamin N. Cardozo School of Law, receiving his J.D. in 1989.

Mr. Schwartzberg is admitted to practice law in New York. He is also admitted to the New York State Bar and the United States District Courts for the Southern and Eastern Districts of New York. Mr. Schwartzberg is a member of the Securities Industry and Financial Markets Association (“SIFMA”), Legal and Compliance Division, and the Financial Services Institute (“FSI”). Mr. Schwartzberg is also a frequent lecturer on topics and developments in the securities industry, including the Practicing Law Institute (“PLI”), the annual FSI conference and numerous client-sponsored seminars.

Publications

Seminars

  • “The New FINRA Suitability Rules, ” FSI OneVoice Conference 2013 , January 28-30, 2013
  • “The Next Wave of FINRA Claims,” 6th Annual National Errors & Omissions Liability ExecuSummit, June 12-13, 2012
  • “Securities Arbitration in the Market Meltdown Era: Achieving Fairness in Perception and Reality,” Practicing Law Institute, August 12, 2009
  • “The Fast Changing Landscape of FINRA Arbitration: Current Trends, Recent Rule Changes and Defense Strategies,” Lancer Claims Department, August 4, 2009
  • “Managing the Recruiting and Transition Process: From Initial Approach Through the First 90 Days,” Financial Services Institute 2008 Annual Conference
  • “An Examination of Best Practices in Connection with Section 72(t) of the Internal Revenue Code and Viatical Life Settlements,” Financial Services Institute Webinar, September 26, 2007