Dec 13, 2023

WSS New York Office Prevails on Second Circuit Appeal Affirming Dismissal of All Claims

In a major appellate victory for the firm, the United States Court of Appeals for the Second Circuit this week affirmed the dismissal of all claims against our client, an insurance broker. Matthew Tracy, of the New York office, handled both the appeal and the underlying litigation. In the action, the Plaintiffs alleged that our […] More

Nov 29, 2023

WSS New York Office Prevails on a Motion to Dismiss Claims Under FINRA’s Eligibility Rule

Jessica E. Levine and Alexander Truitt of Winget, Spadafora & Schwartzberg LLP’s New York office won a Motion to Dismiss pursuant to FINRA Rule 12206 — FINRA’s Six-Year Eligibility Rule. The investor filed a Statement of Claim seeking over $400,000 in alleged investment losses purportedly relating to two private placements that she purchased through the […] More

Nov 7, 2023

Winget, Spadafora & Schwartzberg, LLP is pleased to announce that Christopher Weldon has joined the firm as a Partner. Christopher is joined by Senior Associate Danita L. Pearsall.

Christopher is an experienced litigator with more than thirty (30) years of experience. Christopher has significant experience defending a wide array of professionals, including insurance agents and brokers, attorneys, real estate agents, mortgage brokers, and architects and engineers. He also has substantial experience litigating employment disputes in state and federal courts and arbitration, including disputes […] More

Nov 1, 2023

SEC Sanctions Investment Advisor $10 Million Over Standard Non-Disclosure Provisions That SEC Found to Have Violated Its Whistleblower Protection Rules

The Dodd-Frank Act created a robust whistleblower program within the SEC, and the years since have demonstrated how seriously the Commission takes its whistleblower protection role under that program. SEC Rule 21F-17, promulgated under the Dodd-Frank Act, prohibits “any action to impede an individual from communicating directly with the Commission staff about a possible securities […] More

Oct 31, 2023

WSS Connecticut Office Obtains Defense Verdict in FINRA Arbitration

Brian J Palmeri and Meghan Daley of Winget, Spadafora & Schwartzberg LLP’s Connecticut office secured a defense verdict in favor of the firm’s clients in a FINRA Dispute Resolution arbitration. The Claimant alleged that the representatives and broker-dealer violated their fiduciary duties to Claimant related to a withdrawal from a joint securities account Claimant maintained […] More

Oct 30, 2023

WSS CO Office Prevails on a Motion to Dismiss Under Anti-SLAPP Law

WSSLLP Colorado attorneys recently won a Motion to Dismiss a Colorado District Court case pursuant to Colorado’s Anti-SLAPP statute (Strategic Lawsuits Against Public Participation), C.R.S. § 13-20-1101(3)(a). The relatively new law, adopted by the Colorado General Assembly in 2019, was enacted to address lawsuits aimed at stifling or punishing the exercise of the First Amendment […] More