Michael Schwartzberg


Michael Schwartzberg



New York, NY


New York, NY
F (212) 221-6989


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 Practising Law Institute (“PLI”), the annual FSI conference and numerous client-sponsored seminars.


  • “Securities Arbitration & Mediation Hot Topics 2019,” New York City Bar Association, May 21, 2019
  • “Limiting Litigation Exposure: Learning From Recent Cases,” IMN Annual Western Non-Traded REIT & Retail Alternative Investment Symposium, December 5-6, 2018
  • “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,” FSI OneVoice Conference 2008
  • “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


Associated Posts