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Winget, Spadafora & Schwartzberg, LLP is proud to announce that we have achieved Mansfield Certification!
We are proud to announce that our firm has achieved Mansfield Certification for 2023–24! Mansfield is a year-long, structured certification process that we’ve committed to since 2022 to ensure all talent at our firm has a fair and equal opportunity to advance into leadership. The focus is on opening the door wider and ensuring that […] More
Winget Spadafora & Schwartzberg LLP is Pleased to Announce the Addition of Wayne Hammack
We are excited to announce that Wayne Hammack has joined Winget, Spadafora & Schwartzberg, LLP as a Partner in our Los Angeles office. Wayne brings decades of experience handling professional liability claims, including but not limited to lawyers, accountants, and various design professionals in state court and federal court matters. Wayne also represents companies in […] More
Winget Spadafora & Schwartzberg LLP is Pleased to Announce the Addition of Patrick Cox
We are excited to announce that Patrick Cox has joined Winget, Spadafora & Schwartzberg, LLP as a Partner. Prior to joining WSS, Patrick was Executive Vice President and General Counsel for Advice, Litigation and Regulatory Strategy with LPL Financial where he was responsible for all litigation, regulatory, and legal advice matters for the firm’s business […] More
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
