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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
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
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
WSS New York Office Wins Summary Judgment in Property Damage Case in New York County Supreme Court
Patrick D. Egan and Matthew Tracy of Winget, Spadafora & Schwartzberg LLP’s New York office secured summary judgment in favor of our client, a scaffolding contractor, in a multi-party property damage action in New York County Supreme Court. In the case, the plaintiff condominium association alleged that multiple defendants, including our client, caused significant damage […] More
WSS Attorneys Recognized in Super Lawyers 2023
Winget, Spadafora & Schwartzberg is proud to announce our attorneys recognized in the Super Lawyers and Rising Stars lists for 2023: William G. Winget, Insurance Coverage, Professional Liability, Business Litigation Luigi Spadafora, Business Litigation Harris Katz, Professional Liability Alexander A. Truitt, Business Litigation Daniel Quinlan, Civil Litigation Douglas G. Fogle, Securities Litigation, Professional Liability Zachary […] More
WSS New York Office Obtains a Directed Verdict and Attorneys’ Fees in FINRA Arbitration
Christina M. Rieker, Esq. of Winget, Spadafora & Schwartzberg, LLP’s New York office received a directed verdict in favor of the firm’s brokerage firm client related to claims of misrepresentation and omission of accurate pricing of securities on the brokerage firm’s online platform. The customer in the proceeding alleged that the brokerage firm intentionally and/or negligently […] More
