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FINRA Eligibility Rule is Another Hurdle to Expungement
Registered representatives associated with FINRA member firms (“stockbrokers”) are often times the subject of public customer complaints regarding their investments… More
Potential Claims Related to LJM Preservation and Growth Fund Collapse
In recent months, Winget Spadafora & Schwartzberg, LLP (“WSS”) has been engaged by numerous insurance E&O carriers, broker-dealers and their registered representatives… More
Potential Claims Related to Future Income Payments
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?
Website accessibility lawsuits continue to be brought across the United States. In short, these lawsuits allege that websites are not accessible to persons More
FINRA Implements New Outside Business Activity Rule
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
EU General Data Protection Regulation Effective May 25, 2018
In April 2016, the European Union (“EU”) Parliament approved the General Data Protection Regulation (“GDPR”) replacing the now antiquated “Data Protection Directive” originally adopted in 1995… More
