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WSSLLP’s Philadelphia Office Wins Complete Defense Award in FINRA Arbitration Seeking $2.8 Million in Damages
The firm’s client is a registered representative and investment advisor representative who was sued for 2.8 million dollars in a FINRA arbitration. Claimants specifically alleged that he forged and altered documents, made unsuitable investment recommendations regarding two restaurants, and that he interfered with the operation of the restaurants leading to Claimants’ alleged losses. Claimants also […] More
Winget, Spadafora & Schwartzberg, LLP Promotes New Partners
Winget, Spadafora & Schwartzberg, LLP is pleased to announce the elevation of three new equity partners and two new partners. The following Partners have been elevated to Equity Partners: Derek C. Anderson is the Managing Partner of the firm’s Boulder, CO office. His practice focuses on the areas of securities litigation and regulation, complex commercial […] More
WSSLLP’s Philadelphia Office Prevails on Motion for Summary Judgment on behalf of Wholesale Insurance Broker in Dispute Seeking Damages of Several Million Dollars
On January 7, 2022, Joel Wertman and Doug Fogle of Winget, Spadafora & Schwartzberg LLP’s Philadelphia, Pennsylvania office successfully secured summary judgment on behalf of their client, a wholesale insurance broker, in the matter of The Original Apostolic Faith Church v. American Casualty, et al., before the Philadelphia County Court of Common Pleas. The Court’s […] More
WSSLLP’s Philadelphia Office Obtains Arbitration Award Recommending the Expungement of Five Customer Complaints from Client’s Broker-Check Report
Our client was the subject of five separate customer complaints which were disclosed on his publicly available FINRA broker-check report. These complaints were primarily caused by the overall market downturn from 2009. The complaints involved annuities and alternative investments, such as Real Estate Investment Trusts. Some of the claims were settled and some of the […] More
Law360 Covers WSS New York Office’s Dismissal Of Putative Class-Action Against Insurer
On December 13, 2021, Law360 profiled the Hon. Denise L. Cote’s recent decision, granting Winget, Spadafora & Schwartzberg LLP’s Fed. R. Civ. P. 12(b)(6) motion to dismiss a civil action before the United States District Court for the Southern District of New York, captioned Tessa Knox et al. v. Ironshore Indemnity Inc. (Case No.: 1:21-cv-06321-DLC). […] More
WSSLLP’s Colorado Office Wins Rare FINRA Rule 12206 Eligibility Motion Dismissing Arbitration of Claims Related to GPB
On October 26, 2021, a three-member FINRA Panel issued a decision in favor of WSS’ client, an independent broker dealer, in an arbitration brought by a former customer seeking damages in connection with the purchase of several alternative investments including GPB Capital Investments and American Realty Capital Trust. The Panel found that the case was […] More
