Biography

Brian J. Palmeri is the Managing Partner of the Connecticut office of Winget, Spadafora & Schwartzberg, LLP. Brian’s practice focuses on commercial and professional liability disputes, with a particular emphasis on securities/financial services industry litigation, directors and officers liability, and employment-related disputes, representing clients in federal and state court, FINRA/AAA arbitration, and regulatory proceedings (SEC, FINRA, and State Securities and Insurance Departments).

In addition, Brian advises clients on financial services industry agreements and employment issues including the enforcement and defense of non-compete, non-solicitation and confidentiality agreements. Brian also has extensive experience defending complex litigation matters involving accountants, attorneys, and design professionals.

Brian received his J.D. cum laude from the Quinnipiac University School of Law. Brian also earned his M.B.A. from Quinnipiac University. He earned his B.A. in Political Science and History from Union College.

Representative Decisions

• Wiener v. AXA Equitable Life Ins. Co., 113 F.4th 201, 217 (2d Cir. 2024): Second Circuit upheld the District Court’s entry of summary judgment for insurance agent on claims of negligence and breach of fiduciary duty related to high value life insurance policies.
• Defended registered representative and firm in FINRA arbitration arising from allegedly unauthorized activity in a joint securities account Claimant maintained with his ex-wife, a well-known television and social media personality.
• Defended registered representative in FINRA Arbitration arising from alleged fraudulent REIT investments, resulting in defendant’s verdict
• Represented broker-dealer and registered representatives against claims of wrongful termination, U-5 defamation and corporate raiding, resulting in defendant’s verdict
• Successfully petitioned FINRA arbitration panel for expungement of registered representative’s disciplinary record following settlement of the underlying case
• Successfully defended registered representative in FINRA investigation of alleged embezzlement, resulting in no disciplinary action
• Heusser v. Hale, 777 F. Supp. 2d 366 (D. Conn. 2011): Obtained dismissal in favor of municipality and police chief under FRCP 12(b)(6) against claims of First Amendment Retaliation and violations of the Equal Protection Clause
• Fradianni v. Protective Life Ins. Co., 2011 Conn. Super. LEXIS 2863 (Conn. Super. Ct. Nov. 4, 2011): Obtained summary judgment in favor of insurance broker against claims of breach of fiduciary duty and violation of the Connecticut Unfair Trade Practices Act (“CUTPA”). Settled prior to appeal
• Vecchio v. Coleman, 2011 Conn. Super. LEXIS 54 (Conn. Super. Ct. Jan. 5, 2011): Obtained dismissal in favor of attorney in legal malpractice suit on grounds that claim was not ripe because damages were contingent upon the outcome of another pending lawsuit

Publications

• “Department of Labor’s Fiduciary Rule,” PLUS Journal, July 2016

Associated Posts

• Winget, Spadafora & Schwartzberg, LLP’s Connecticut Office Wins Appeal before the Second Circuit Affirming Summary Judgment in Favor of Insurance Agent
• Winget, Spadafora & Schwartzberg, LLP Promotes Brian J. Palmeri to Equity Partner
• WSS Connecticut Office Obtains Defense Verdict in FINRA Arbitration
• Massachusetts Supreme Judicial Court Expands Duty of Broker-Dealer Firms Beyond Regulation BI to Now Include Fiduciary Standard
• Small Business Administration Begins Accepting Applications for Emergency Relief Loans
• Potential Claims Related to LJM Preservation and Growth Fund Collapse
• Potential Claims Related to Future Income Payments
• FINRA Implements New Outside Business Activity Rule
• FINRA Regulatory Notice 18-13
• Department of Labor – Fiduciary Rule UPDATE