Michael Schwartzberg

Partner

Michael Schwartzberg

Partner

Locations

New York, NY

Contact

New York, NY
F (212) 221-6989

Biography

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 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.

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,” Practising 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

Publications

  • “The Status of Control Person Liability in the Era of FINRA’s New Motion to Dismiss Rule,” Practising Law Institute, August 12, 2009
  • “Think the Right to Arbitrate has been Waived? Think Again!” Practising Law Institute, August 6, 2008