Oct 12, 2022

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

Jul 18, 2022

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

Jul 13, 2022

Winget Spadafora Schwartzberg, LLP Partner, Jessica Levine, Secures Expungement Award Finding GPB Related Claims False and Clearly Erroneous

The firm’s client, a registered representative of a national broker-dealer, received a customer complaint relating to the customer’s investments in two limited partnerships offered by GPB Capital Holdings, Inc. (“GPB”).  The customer complaint alleged that the registered representative: (1) did not discuss the commissions he received from selling the GPB investments; (2) did not warn […] More

Jun 17, 2022

Federal Court Denies Motion for TRO Sought Against Firm’s Client In Case Handled By WSSLLP Philadelphia Office

The firm’s client is an investment advisor representative who resigned from his prior investment advisory firm in May of 2022.  Almost one month after his resignation his prior firm filed pleadings in federal court in Maryland seeking a temporary restraining order, a preliminary injunction, and monetary damages.  It claimed that he misappropriated its trade secrets […] More

FINRA Arbitration Panel Denies Claimants’ ARC REIT Claims as Clearly Erroneous in Matter Handled by WSSLLP’s Philadelphia Office
May 25, 2022

FINRA Arbitration Panel Denies Claimants’ ARC REIT Claims as Clearly Erroneous in Matter Handled by WSSLLP’s Philadelphia Office

The firm’s client is a registered representative of a national broker-dealer which was a Respondent in a FINRA arbitration. Claimants’ alleged causes of action included suitability, failure to disclose risks, and lack of diligence relating to the recommendation of various ARC REITs. The arbitration claims were settled and our client requested expungement of the customer […] More

WSS’s Philadelphia Office Prevails on Motion for Summary Judgment Involving Novel Legal Issue on behalf of Home Inspector in Philadelphia Court of Common Pleas
Apr 21, 2022

WSS’s Philadelphia Office Prevails on Motion for Summary Judgment Involving Novel Legal Issue on behalf of Home Inspector in Philadelphia Court of Common Pleas

On April 13, 2022, Joel Wertman and Doug Fogle of Winget, Spadafora & Schwartzberg LLP’s Philadelphia, Pennsylvania office successfully secured summary judgment in favor of their client, a home inspector operating in Philadelphia County.  The matter involved multiple oral arguments, substantial briefing, and additional motion practice to include a request for reconsideration or to certify […] More