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WSSLLP’s Colorado office Successful on FINRA Motion to Dismiss
A FINRA arbitration Panel in Florida issued a rare grant of a broker-dealer firm’s Motion to Dismiss in an industry case. WSSLLP attorneys Derek Anderson and Jennifer O’Shea filed the successful motion arguing that the broker-dealer firm was not associated with the conduct at issue, per FINRA Rule 13504(a)(6)(B), and that the Claimant previously brought […] More
U.S. SUPREME COURT CLAWS BACK SEC’S ENFORCEMENT POWERS
The Supreme Court issued a decision earlier today significantly restricting the SEC’s enforcement powers. The Court’s ruling in SEC v. Jarkesy makes it substantially more difficult for the SEC to seek civil monetary penalties against alleged violators of the antifraud provisions of the securities laws. The Court has ruled that the SEC can no longer […] More
WSS’s Philadelphia Office Prevails On Motion for Summary Judgment on behalf of Financial Advisor in Beneficiary Change Dispute
On June 13, 2024, Joel Wertman of Winget, Spadafora & Schwartzberg LLP’s Philadelphia, Pennsylvania office, with assistance from Alex Truitt (NYC) and Doug Fogle (Philadelphia) secured summary judgment in favor of their client, a registered investment advisor, in the Supreme Court of State of NY, Nassau County. This matter involved a beneficiary designation change form […] More
Winget, Spadafora & Schwartzberg, LLP Promotes Brian J. Palmeri to Equity Partner
Winget, Spadafora & Schwartzberg, LLP proudly celebrates the advancement of Brian J. Palmeri to equity partner status. Brian J. Palmeri is the Managing Partner of the Connecticut office of Winget, Spadafora & Schwartzberg, LLP. His practice focuses on the defense of professionals and fiduciaries, with emphasis on the representation of the financial services industry, including […] More
The Federal Trade Commission Bans Non-Competes
Yesterday, the Federal Trade Commission (“FTC”) issued its final rule banning non-competes. The final rule will go into effect 120 days following publication in the Federal Register. The rule was originally proposed on January 19, 2023, pursuant to sections 5 and 6(g) of the FTC Act. The final rule states “that it is an unfair […] More
WSSLLP’s New York Office Obtains Pre-Answer Dismissal of Shareholder Derivative Action in Nassau County Supreme Court
Patrick D. Egan of Winget, Spadafora & Schwartzberg LLP’s New York office secured the pre-answer dismissal of a shareholder derivative action filed in the Supreme Court of the State of New York, Nassau County. The plaintiff, an aggrieved condominium unit owner, filed a complaint asserting eleven derivative claims (largely involving alleged self-dealing and failure to […] More
