Our experienced attorneys focus on developing creative legal solutions in the following areas:
Winget, Spadafora & Schwartzberg, LLP provides comprehensive legal solutions designed to achieve optimal results for our clients. Our deep bench of experienced attorneys is backed by a dedicated support staff, leading-edge technology and a ﬁrm culture that prizes focus, incisive thinking and a hands-on approach.
News & Alerts
On June 30, 2020, Florida’s Governor signed Florida House Bill 813, amending Florida Statute 415.1034 and creating Florida Statute 517.34. This Bill was drafted to protect vulnerable investors within the State of Florida from financial exploitation. The Bill requires broker-dealers, investment advisers and associated persons to report knowledge or suspicion of abuse, neglect, or exploitation […] More
On Monday, June 22, the U.S. Supreme Court said, in an 8-1 decision, that the U.S. Securities and Exchange Commission could continue collecting disgorgement in an amount that does not exceed a wrongdoer’s net profits and is awarded for victims as “equitable relief.” In rendering its decision, the Supreme Court looked at whether a particular […] More
FINRA recently issued Regulatory Notice 20-16 providing firms with guidance on transitioning to a remote work environment and implementing remote supervisory practices. The Notice shares some common themes that the SRO has observed amongst firms of all sizes regarding steps being taken to transition their staff, associated persons, and supervisory policies and procedures to remain […] More