Benjamin J. Biard focuses his practice on securities litigation, securities regulation and commercial litigation. Mr. Biard has extensive experience representing broker-dealers, registered investment advisors, registered representatives, insurance brokers and hedge funds throughout the United States in a wide array of customer and industry disputes in federal and state courts, as well as before the Financial Industry Regulatory Authority (FINRA) Dispute Resolution. Additionally, Mr. Biard represents clients in regulatory actions before FINRA Department of Enforcement and the U.S. Securities and Exchange Commission (SEC). Mr. Biard also assists clients in commercial litigation and transactional matters.
Prior to joining Winget, Spadafora & Schwartzberg, LLP, Mr. Biard was the head of the securities litigation and regulatory practice in the Miami office of an Am Law 100 international law firm. Mr. Biard also previously served as in-house trial counsel at Merrill Lynch, Pierce, Fenner & Smith Incorporated in New York City and Miami. During his time in-house, Mr. Biard gained first-hand knowledge of what clients expect from their outside counsel to ensure effective litigation. Mr. Biard also draws on his experience to counsel clients on market and regulatory changes that could impact their business.
- “Securities Industry Update – Florida Office of Financial Regulation Order,” WSSLLP Alert, March 27, 2020
- “Potential Claims Related to Future Income Payments,” WSSLLP Alert, July 26, 2018
- “EU General Data Protection Regulation Effective May 25, 2018,” WSSLLP Alert, Co-author, May, 21, 2018
- “FINRA Regulatory Notice 18-13,” WSSLLP Alert, May 2, 2018
- “Department of Labor- Fiduciary Rules UPDATE,” WSSLLP Alert, April 6, 2016
- “Department of Labor’s Fiduciary Rule,” PLUS Journal, July 2016