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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
WINGET, SPADAFORA & SCHWARTZBERG, LLP IS PLEASED TO ANNOUNCE THAT CHARLES B. LACHAUSSEE HAS JOINED THE FIRM
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
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
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
Georgia Court of Appeals Overturns Vacatur of FINRA Arbitration Award in Wells Fargo case
On August 2, 2022, the Georgia Court of Appeals reversed a Georgia lower court’s decision to vacate a Financial Industry Regulatory Authority (FINRA) arbitration award in a controversial investment dispute between Wells Fargo Clearing Services, LLC (“Wells Fargo”) and its clients (the “investors”). The Court of Appeals found that the Superior Court “provided no proper […] More
WSS Secures Dismissal of Securities Fraud Claims Against National Brokerage Firm
On July 7, 2022, Winget Spadafora & Schwartzberg, LLP successfully secured the dismissal of a securities fraud lawsuit filed against the firm’s client, a national brokerage firm, in the United States District Court, Southern District of New York. The plaintiff in the lawsuit alleged that the firm breached Rule 10b-5 of the Securities and Exchange […] More
