All-Remote Win for the Defense on a Motion to Dismiss
Oct 22, 2020

All-Remote Win for the Defense on a Motion to Dismiss

We hope that you all are doing well and are adjusting to your new work environment, whether it be working exclusively from home or a hybrid arrangement with some time spent in the office.  Just a few months ago, no one would have thought that virtual Court appearances, depositions and mediations would become the norm. […] More

Winget, Spadafora & Schwartzberg’s Florida Office Has Relocated
Oct 1, 2020

Winget, Spadafora & Schwartzberg’s Florida Office Has Relocated

Winget, Spadafora & Schwartzberg’s Florida office has relocated.  Our new address is SunTrust International Center, One Southeast Third Avenue, Suite 1950, Miami, Florida 33131. More

Sep 29, 2020

Risk Management in the Era of COVID-19

One of our biggest challenges in dealing with COVID-19 is adapting traditional methods of limiting liability and risk transfer to our new environment. Contracting parties have long looked to provisions such as force majeure, limitations of liability, and indemnification to help manage risk. Here, let’s examine special considerations for those risk-avoidance mechanisms in the COVID-19 […] More

Enforcement of Massachusetts Fiduciary Rule Just Kicked In
Sep 8, 2020

Enforcement of Massachusetts Fiduciary Rule Just Kicked In

By Derek C. Anderson

On September 1, 2020, Massachusetts’ new fiduciary conduct standard went into effect.  In March 2020, Massachusetts became the first state in the country to fully adopt this heightened standard for broker-dealers. The regulations are the result of consumer-oriented Massachusetts Secretary of State Bill Galvin’s opinion that the SEC’s Regulation Best Interest (Reg BI) is insufficient […] More

WSSLLP Pro Bono Efforts Secure Victory for Victim of False Arrest
Sep 1, 2020

WSSLLP Pro Bono Efforts Secure Victory for Victim of False Arrest

Winget, Spadafora & Schwartzberg, LLP encourages pro bono efforts for those in need of effective representation who cannot otherwise afford representation.  Recently, in New Jersey, one of our attorneys secured a victory on an appeal of a conviction where the State failed to disclose exculpatory evidence. On August 26, 2020, Allison J. Beatty, an attorney […] More

FINRA Amends Its Suitability, Capital Acquisition Broker Suitability and Non-Cash Compensation Rules to Comply with Sec’s Regulation Best Interest
Aug 27, 2020

FINRA Amends Its Suitability, Capital Acquisition Broker Suitability and Non-Cash Compensation Rules to Comply with Sec’s Regulation Best Interest

By Derek C. Anderson

On June 19, 2020, FINRA issued Regulatory Notice 20-18, noting changes to FINRA’s suitability rule, Capital Acquisition Broker (“CAB”) suitability rule and rules governing non-cash compensation consistent with the requirements of the SEC’s Regulation Best Interest (“Reg BI”).  The changes were approved by the SEC and became effective on June 30, 2020, the compliance date […] More