News & Alerts
- Filter category
Winget, Spadafora & Schwartzberg, LLP Promotes Four New Partners
Winget, Spadafora & Schwartzberg, LLP is pleased to announce the promotion of four partners in our Boston, Stamford and New York City offices. Meghan K. Daley focuses her practice on the defense of professionals, organizations, and fiduciaries in a wide-range of professional liability and employment matters in the insurance, securities, financial services, construction, and legal […] More
WSS New York Office Prevails on Second Circuit Appeal Affirming Dismissal of All Claims
In a major appellate victory for the firm, the United States Court of Appeals for the Second Circuit this week affirmed the dismissal of all claims against our client, an insurance broker. Matthew Tracy, of the New York office, handled both the appeal and the underlying litigation. In the action, the Plaintiffs alleged that our […] More
WSS New York Office Prevails on a Motion to Dismiss Claims Under FINRA’s Eligibility Rule
Jessica E. Levine and Alexander Truitt of Winget, Spadafora & Schwartzberg LLP’s New York office won a Motion to Dismiss pursuant to FINRA Rule 12206 — FINRA’s Six-Year Eligibility Rule. The investor filed a Statement of Claim seeking over $400,000 in alleged investment losses purportedly relating to two private placements that she purchased through the […] More
Winget, Spadafora & Schwartzberg, LLP is pleased to announce that Christopher Weldon has joined the firm as a Partner. Christopher is joined by Senior Associate Danita L. Pearsall.
Christopher is an experienced litigator with more than thirty (30) years of experience. Christopher has significant experience defending a wide array of professionals, including insurance agents and brokers, attorneys, real estate agents, mortgage brokers, and architects and engineers. He also has substantial experience litigating employment disputes in state and federal courts and arbitration, including disputes […] More
SEC Sanctions Investment Advisor $10 Million Over Standard Non-Disclosure Provisions That SEC Found to Have Violated Its Whistleblower Protection Rules
The Dodd-Frank Act created a robust whistleblower program within the SEC, and the years since have demonstrated how seriously the Commission takes its whistleblower protection role under that program. SEC Rule 21F-17, promulgated under the Dodd-Frank Act, prohibits “any action to impede an individual from communicating directly with the Commission staff about a possible securities […] More
WSS Connecticut Office Obtains Defense Verdict in FINRA Arbitration
Brian J Palmeri and Meghan Daley of Winget, Spadafora & Schwartzberg LLP’s Connecticut office secured a defense verdict in favor of the firm’s clients in a FINRA Dispute Resolution arbitration. The Claimant alleged that the representatives and broker-dealer violated their fiduciary duties to Claimant related to a withdrawal from a joint securities account Claimant maintained […] More