Sep 20, 2022

Kenneth A. McLellan to speak at CLM Construction Conference

Kenneth A. McLellan will be speaking at CLM’s Construction Conference on September 21-23, 2022 in San Diego, CA.  Ken is speaking on panel titled, “Climate Change: Trends and Strategies to Limit Claims and Mitigate Risk” on September 22, 2022 at 10:45 AM PST. Click here to learn more about the 2022 CLM Construction Conference.   More

Sep 12, 2022

Robyn Silvermintz to co-chair Employment Practices Liability Insurance ExecuSummit

Robyn Silvermitz will co-chair the 7th Annual Employment Practices Liability Insurance ExecuSummit – Fall Session, September 20 & 21, 2022 at the Mohegan Sun Hotel & Convention Center, Uncasville, CT.  In addition to co-chairing, Robyn is moderating a panel titled, “Diversity, Equity, and Inclusion: Strategies for Increasing Diversity, Reducing Potential Liability and Utilizing Experts”. Click […] More

Sep 8, 2022

WSSLLP is Sponsoring the NYCAIW Annual Kick-Off Event

Winget, Spadafora, & Schwartzberg, LLP is looking forward to sponsoring the NYCAIW Annual Kick-Off Event on September 20th, 2022 in NYC. For more information or to register for this event click the image below: More

FINRA Proposes Significant Amendments to Expungement Rules
Aug 15, 2022

FINRA Proposes Significant Amendments to Expungement Rules

By Michael Schwartzberg, Jessica E. Levine

On July 29, 2022, FINRA filed a proposed rule change with the SEC seeking to modify the expungement process to address certain concerns articulated by the Public Investor Advocacy Bar Association (“PIABA”) regarding the integrity of the process. The SEC is currently soliciting comments on the proposed rule change, and if the SEC approves the […] More

Aug 9, 2022

Georgia Court of Appeals Overturns Vacatur of FINRA Arbitration Award in Wells Fargo case

On August 2, 2022, the Georgia Court of Appeals reversed a Georgia lower court’s decision to vacate a Financial Industry Regulatory Authority (FINRA) arbitration award in a controversial investment dispute between Wells Fargo Clearing Services, LLC (“Wells Fargo”) and its clients (the “investors”). The Court of Appeals found that the Superior Court “provided no proper […] More

Jul 18, 2022

WSS Secures Dismissal of Securities Fraud Claims Against National Brokerage Firm

On July 7, 2022, Winget Spadafora & Schwartzberg, LLP successfully secured the dismissal of a securities fraud lawsuit filed against the firm’s client, a national brokerage firm, in the United States District Court, Southern District of New York. The plaintiff in the lawsuit alleged that the firm breached Rule 10b-5 of the Securities and Exchange […] More