Oct 24, 2022

Derek C. Anderson to Participate in IBDC-RIAC Webinar

Derek C. Anderson will be speaking on a webinar entitled “Top 10 Best Compliance Tips for Broker Dealers and RIAs.”  Derek will be joined by fellow IBDC Alliance members as they share with you the Top Ten Compliance Tips to put into action in an effort to avoid costly litigation. Click here to learn more. More

Oct 12, 2022


Charles “Chip” LaChaussee has joined the firm’s Los Angeles Office as a partner.  Mr. LaChaussee is a highly accomplished litigation attorney, who has defended claims against, and prosecuted claims on behalf of, broker-dealers his entire career.  As former in-house counsel to several financial institutions, he brings a distinctive set of skills, experiences, and insights to […] More

Sep 20, 2022

Kenneth A. McLellan to speak at CLM Construction Conference

Kenneth A. McLellan will be speaking at CLM’s Construction Conference on September 21-23, 2022 in San Diego, CA.  Ken is speaking on panel titled, “Climate Change: Trends and Strategies to Limit Claims and Mitigate Risk” on September 22, 2022 at 10:45 AM PST. Click here to learn more about the 2022 CLM Construction Conference.   More

Sep 12, 2022

Robyn Silvermintz to co-chair Employment Practices Liability Insurance ExecuSummit

Robyn Silvermitz will co-chair the 7th Annual Employment Practices Liability Insurance ExecuSummit – Fall Session, September 20 & 21, 2022 at the Mohegan Sun Hotel & Convention Center, Uncasville, CT.  In addition to co-chairing, Robyn is moderating a panel titled, “Diversity, Equity, and Inclusion: Strategies for Increasing Diversity, Reducing Potential Liability and Utilizing Experts”. Click […] More

Sep 8, 2022

WSSLLP is Sponsoring the NYCAIW Annual Kick-Off Event

Winget, Spadafora, & Schwartzberg, LLP is looking forward to sponsoring the NYCAIW Annual Kick-Off Event on September 20th, 2022 in NYC. For more information or to register for this event click the image below: More

FINRA Proposes Significant Amendments to Expungement Rules
Aug 15, 2022

FINRA Proposes Significant Amendments to Expungement Rules

By Michael Schwartzberg, Jessica E. Levine

On July 29, 2022, FINRA filed a proposed rule change with the SEC seeking to modify the expungement process to address certain concerns articulated by the Public Investor Advocacy Bar Association (“PIABA”) regarding the integrity of the process. The SEC is currently soliciting comments on the proposed rule change, and if the SEC approves the […] More