Luigi Spadafora

Practice Areas:

Professional Liability Litigation, Securities Litigation and Arbitration, Labor and Employment, Directors and Officers

Office Locations: New York, Connecticut and New Jersey

Mobile: (917) 734-9568


Tel: New York: (212) 221-6900
Connecticut: (203) 328-1200
New Jersey: (201) 633-3630
Fax: New York: (212) 221-6989
Connecticut: (203) 328-1212
New Jersey: (201) 633-3631

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Lou Spadafora is a founding partner of Winget, Spadafora & Schwartzberg, LLP. He manages the firm's litigation group and divides his time between our offices in New York, Connecticut and New Jersey. His practice focuses on the defense of professionals and fiduciaries, with a particular emphasis on the representation of the financial services industry, including the representation of broker-dealers, registered representatives, and investment advisors. He also lectures extensively on issues affecting the financial services industry and professionals, including fiduciaries, attorneys, accountants and design professionals, and has also been quoted in the New York Times, the Wall Street Journal and Business Insurance. Mr. Spadafora is a member of the American Bar Association, the New York State Bar Association, the Connecticut Bar Association, the New Jersey State Bar Association, the Financial Services Institute (FSI), the Securities Industry and Financial Markets Association (SIFMA), the Defense Research Institute (DRI), the Claims and Litigation Management Alliance (CLM), and the Professional Liability Underwriting Society (PLUS). Mr. Spadafora serves on the FSI Arbitration Task Force, the FSI Compliance Counsel, the DRI Professional Liability Committee and Financial Advisors Substantive Law Group Chair, the CLM Professional Liability Committee, the PLUS Eastern Regional Steering Committee, and the PLUS Journal Editorial Board.

Mr. Spadafora is a 1985 graduate of Fordham University, where he received his B.A. He received his J.D. in 1988 from St. John's University School of Law, where he was a member of the St. John's Journal of Legal Commentary.

Mr. Spadafora is admitted to practice law in New York, New Jersey and Connecticut State Courts. He is also admitted to practice before the United States Court of Appeals for the Second Circuit, the United States Court of Appeals for the Third Circuit, the United States Tax Court, the United States District Courts for the Southern, Eastern, Northern and Western Districts of New York, and the United States District Courts for the Districts of New Jersey, Connecticut and Colorado.

Mr. Spadafora was named by Super Lawyers® as a Top Rated Business Litigation Attorney in the New York Metro area and Stamford, CT.

Representative Decisions

  • McIntosh v. Pierce, 75 Fed. Appx. 833, 2003 U.S. App. LEXIS 19654, U.S. Court of Appeals, Second Circuit (September 23, 2003)
  • Conemaugh Star Plan Welfare Ben. Plan & Trust v. Fisher, 536 F. Supp. 231, 2008 U.s. Dist LEXIS 13695, U.S. District Court, District of Connecticut (February 25, 2008)
  • Luzerene County Ret. Bd. V. Makowski, 627 F. Supp 2d 506, 2007 U.S. Dist. LEXIS 87246, U.S. District Court, Middle District of Pennsylvania (November 27, 2007)
  • Jackson v. John Hancock Financial Services, 2006 U.S. District Court, District of Kansas, 2006 U.S. LEXIS 67762, Fed. Sec. L. Rep. (CCH) P93, 996 (September 20, 2006)
  • In re Ocwen Fed. Bank FSB Mortg. Servicing Litigation, 2714 MDL No. 1604, U.S. Dist. Court, Northern District of Illinois, 2006 U.S. Dist. LEXIS 34647 (May 16, 2006)
  • Kforce, Inc. v. Alden Pers., Inc., 288 F. Supp. 2d 513, 2003 U.S. Dist LEXIS 18905, U.S. District Court, Southern District of New York (October 23, 2003)
  • New York v. Justin, 237 F. Supp. 2d 368, 2002 U.S. Dist LEXIS 24701, U.S. District Court, Western District of New York (November 12, 2002)
  • Hammilto v. Accu-Tek, 13 F. Supp. 2d 1988, U.S. Dist. LEXIS 10883, U.S. District Court, Eastern District of New York (July 13, 1998)
  • A-Right v. Aquarion Operating Servs. Co., 282 Conn. 612, 922 A.2d 1084, Supreme Court of Connecticut (May 29, 2007)
  • Financial Network Inv. Corp. v. Becker, 305 A.D.2d 187, 762 N.Y.S.2d 25, Supreme Court of New York, Appellate Division, First Dept. (May 8, 2003)
  • Himmelstein v. ING Financial Partners, Inc., 2009 NASD Arb. LEXIS 110 (February 12, 2009)
  • Valeri Kamensky v. Multi-Financial Securities Corp., 2007 NASD Arb. LEXIS 185 (February 22, 2007)
  • Baecht v. Linsco Private Ledger Corp., 2005 NASD Arb. LEXIS 2693 (November 14, 2005)
  • Saltz v. UBS Paine Webber, Inc., 2003 NASD Arb. LEXIS 117 (January 23, 2003)
  • Estate of Marangi v. Royal Alliance Associates, Inc., 2000 NASD Arb. LEXIS 234 (March 29, 2000)


  • “American Conference Institute’s National Forum on the Regulation and Enforcement of Broker-Dealers & Investment Advisers, the Current State of Legislation and Litigation Impacting Broker-Dealers and Investment Advisers: Adapting to Life After Dodd-Frank”, March 1, 2011
  • “The Fast Changing Landscape of FINRA Arbitration: Current Trends, Recent Rule Changes and Defense Strategies,” Lancer Claims Department, August 4, 2009
  • “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
  • “Larue and Fiduciary Responsibility – Challenges and Opportunities,” Financial Services Institute, July 23, 2008