News & Alerts

Christina M. Rieker will co-chair the 6th Annual Women in Insurance Leadership ExecuSummit, March 14 & 15, 2023 at the Mohegan Sun Hotel & Convention Center, Uncasville, CT.  In addition to co-chairing, Christina is moderating a panel entitled, “Where Have All the Employees Gone” discussing ways to keep employees engaged and satisfied in the age […] More

The firm’s client is a national broker-dealer which was a Respondent in a FINRA arbitration where Claimant sought monetary damages of $676,000.  He also sought expungement of the disclosure of his involuntary termination and reason for the termination from his publicly available broker-check report.  Claimant alleged that his broker-dealer defamed him when it completed the […] More

On January 10, 2023, the Financial Industry Regulatory Authority (“FINRA”) released its 2023 Examination and Risk Monitoring Program Report. The report “provides member firms with insight into findings from the recent oversight activities of FINRA’s Member Supervision, Market Regulation and Enforcement programs.”[1] The report is published to promote greater transparency to member firms as well […] More

The Financial Industry Regulatory Authority (FINRA) filed a proposed rule change with the Securities and Exchange Commission (SEC) on December 23, 2022, that, among other things includes amendments to FINRA’s Code of Arbitration Procedure aimed at improving the experience of parties using FINRA’s arbitration forum. The proposed procedural changes include: Virtual Prehearing Conferences First, under […] More

In the wake of a Georgia state court vacating a Wells Fargo arbitration award early last year, the Financial Industry Regulatory Authority (FINRA) filed a proposed rule change with the Securities and Exchange Commission (SEC) on December 23, 2022, that, among other things, principally aims to provide greater transparency regarding potential arbitrators’ conflicts of interest […] More

Winget, Spadafora & Schwartzberg, LLP is pleased to announce the promotion of two partners in its Los Angeles and New York City offices. Alexis T. King handles a broad range of civil litigations with a focus in professional liability defense. Her professional liability defense practices includes the representation of lawyers and other professionals in federal […] More