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WSS Philadelphia Office Obtains Withdrawal Of All Claims With Prejudice In FINRA Arbitration
Our client is a national broker-dealer which was originally named as a defendant in an action filed in Pennsylvania state court. This difficult claim arose from an unfortunate but all too common series of tragic events. Plaintiff claimed he suffered from cognitive impairment and was duped by fraudsters who convinced him he won an overseas […] More
Winget, Spadafora & Schwartzberg, LLP is proud to announce that Carolyn D. Roch and Karen R. Morgan have joined the firm’s Houston, Texas office
Winget, Spadafora & Schwartzberg, LLP is proud to announce that Carolyn D. Roch has joined the firm as Managing Partner of its Houston, Texas office. Carolyn brings a wealth of experience and expertise to WSS and we are thrilled to have her join us. Carolyn is an accomplished trial lawyer with over twenty-five (25) years […] More
SEC Approves Changes to FINRA Expungement Rules
On April 12, 2023, the Securities and Exchange Commission approved changes to FINRA’s expungement rules that will make the process more challenging for Associated Persons to seek expungement. Although the Commission approved these changes, FINRA has not yet announced when the new expungement rules will go into effect. Currently, FINRA Rule 2080 governs FINRA’s expungement […] More
WSS’s Philadelphia Office Prevails on Motion for Judgment on the Pleadings on behalf of Insurance Broker in Westmoreland County Court of Common Pleas
Winget, Spadafora & Schwartzberg LLP’s Philadelphia, Pennsylvania office successfully secured a judgment on the pleadings in the Westmoreland County Court of Common Pleas. The Order successfully resolved all claims brought against WSS’s client relating to the alleged theft by one of its employees. The complaint alleged that an employee of WSS’s client, an insurance broker, […] More
WSS Florida Team Prevail in FINRA Arbitration Regarding ARC Hospitality
Benjamin J. Biard, Esq. and Zachary S. Knoblock, Esq. of Winget, Spadafora & Schwartzberg, LLP’s Florida office received a full defense award in favor of the firm’s brokerage firm client related to ARC Hospitality Investors Trust (HIT). The customer in the proceeding alleged that the brokerage firm failed to conduct a proper due diligence review of […] More
We are pleased to announce that our New York Office Partner, Kenneth A. McLellan, was recently inducted into the Federation of Defense and Corporate Counsel
The FDCC is a professional trade association of vetted and premier defense and corporate counsel and industry executives dedicated to leading the profession by advancing the principles of integrity, professionalism, and fair civil justice. Since 1936, the FDCC has continued building on its strong foundation of leadership and service to the legal profession and to […] More
