Jan 9, 2019

Denis C. Dice Published in PLUS Journal

Denis Dice’s article, “FINRA Eligibility Rule is Another Hurdle to Expungement” was published in this quarter’s PLUS Journal.  More

Jan 9, 2019

FINRA Eligibility Rule is Another Hurdle to Expungement

By Denis Dice

Registered representatives associated with FINRA member firms (“stockbrokers”) are often times the subject of public customer complaints regarding their investments… More

Aug 1, 2018

Potential Claims Related to LJM Preservation and Growth Fund Collapse

By Derek C. Anderson

In recent months, Winget Spadafora & Schwartzberg, LLP (“WSS”) has been engaged by numerous insurance E&O carriers, broker-dealers and their registered representatives… More

Jul 26, 2018

Potential Claims Related to Future Income Payments

By Benjamin J. Biard

In recent months, Winget, Spadafora & Schwartzberg, LLP (“WSS”) has been engaged by numerous insurance E&O carriers and insurance agents across the country to.. More

What’s New in Website Lawsuits?
Jun 12, 2018

What’s New in Website Lawsuits?

By Dianna D. McCarthy

Website accessibility lawsuits continue to be brought across the United States. In short, these lawsuits allege that websites are not accessible to persons More

Jun 5, 2018

FINRA Implements New Outside Business Activity Rule

By Douglas G. Fogle

FINRA recently released a proposal that would change the relationship between brokerage firms and their registered representatives who do work for unaffiliated registered investment advisors. More

Upcoming Events

Upcoming Events