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In Memoriam: William G. Winget
It is with profound sadness that we announce the passing of our friend, partner and colleague, William (“Bill”) Winget, who passed away unexpectedly on June 7, 2026. Bill co-founded Winget Spadafora & Schwartzberg, LLP in 1993 and, over the next three decades, helped build the foundation of integrity, respect, collaboration and hard work that remains […] More
Court Rules that Non-Acceptance Provision is not Enforceable Against a Registered Investment Advisor
Since 2000 the number of Investment Advisor Representatives (“IAR) associated with Registered Investment Advisors (“RIA”) has increased from 6,949 to 15,870. Along with this increase there has been an increase in the departure of IARs, who have employment agreements containing restrictive covenants, to a new RIA. This has likewise led to an increase in the […] More
Winget Spadafora & Schwartzberg LLP’s New York Office Secures Dismissal Of A $7 Million Lawsuit Arising From An Alleged Illegal Stock Issuance By A SPAC
Partners Harris B. Katz and Alexander A. Truitt successfully obtained dismissal of all claims against their client in a complex securities litigation pending before the New York Supreme Court, Commercial Division. The lawsuit alleged that a special purpose acquisition corporation (the “SPAC”), its CEO, and outside counsel engaged in ultra vires conduct by purportedly issuing […] More
DOJ Indictment of Former GWG CEO May Trigger New Wave of Customer Claims Filings
On November 4, 2025, the Department of Justice filed an indictment against Bradley Heppner, former CEO and Chairman of GWG Holdings, alleging securities fraud and the diversion of $150 million from GWG L Bond proceeds. This marks a significant development in the ongoing GWG litigation landscape. While the criminal proceeding targets a former executive and […] More
Winget Spadafora & Schwartzberg LLP is Pleased to Announce the Addition of Jeremy Wooden
We are excited to welcome Jeremy Wooden to the firm as a Partner in our Los Angeles office. He brings extensive experience in securities litigation, securities regulation, commercial litigation, and professional liability matters. Jeremy will play a key role in supporting our clients and strengthening our firm’s presence in California. Please join us in welcoming […] More
Brian J. Palmeri to Speak at the 2025 Connecticut Bankruptcy Conference
We are pleased to announce that Brian J. Palmeri will be speaking at the 2025 Connecticut Bankruptcy Conference on October 9, 2025, at Saint Clements Castle & Marina in Portland, CT. Brian will join a panel discussion on Director and Officer Liability in Bankruptcy Matters, sharing his insights with fellow practitioners and judges. His Panel […] More
