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WSS’s Philadelphia Office Prevails On Motion for Summary Judgment on behalf of Financial Advisor in Beneficiary Change Dispute
On June 13, 2024, Joel Wertman of Winget, Spadafora & Schwartzberg LLP’s Philadelphia, Pennsylvania office, with assistance from Alex Truitt (NYC) and Doug Fogle (Philadelphia) secured summary judgment in favor of their client, a registered investment advisor, in the Supreme Court of State of NY, Nassau County. This matter involved a beneficiary designation change form […] More
Winget, Spadafora & Schwartzberg, LLP Promotes Brian J. Palmeri to Equity Partner
Winget, Spadafora & Schwartzberg, LLP proudly celebrates the advancement of Brian J. Palmeri to equity partner status. Brian J. Palmeri is the Managing Partner of the Connecticut office of Winget, Spadafora & Schwartzberg, LLP. His practice focuses on the defense of professionals and fiduciaries, with emphasis on the representation of the financial services industry, including […] More
The Federal Trade Commission Bans Non-Competes
Yesterday, the Federal Trade Commission (“FTC”) issued its final rule banning non-competes. The final rule will go into effect 120 days following publication in the Federal Register. The rule was originally proposed on January 19, 2023, pursuant to sections 5 and 6(g) of the FTC Act. The final rule states “that it is an unfair […] More
WSSLLP’s New York Office Obtains Pre-Answer Dismissal of Shareholder Derivative Action in Nassau County Supreme Court
Patrick D. Egan of Winget, Spadafora & Schwartzberg LLP’s New York office secured the pre-answer dismissal of a shareholder derivative action filed in the Supreme Court of the State of New York, Nassau County. The plaintiff, an aggrieved condominium unit owner, filed a complaint asserting eleven derivative claims (largely involving alleged self-dealing and failure to […] More
WSSLLP’s New York Office Wins Summary Judgment in Medical Malpractice Case in Kings County Supreme Court
Patrick D. Egan of Winget, Spadafora & Schwartzberg LLP’s New York office secured summary judgment in favor of the firm’s client, a medical group that provides various services to homebound patients, in a multi-party medical malpractice and wrongful death action in the Supreme Court of the State of New York, Kings County. In the case, […] More
Artificial Intelligence at the Top of FINRA’s Annual Regulatory Oversight Report
FINRA issued its annual Regulatory Oversight Report on January 9, 2024. FINRA’s regulatory priorities for the year are set to include cryptocurrency regulations as well as cybersecurity standards for member firms. Of particular note is FINRA’s cautious view of the emergent use of Artificial Intelligence to improve processes and develop market models (among other tasks) […] More
