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Winget, Spadafora & Schwartzberg, LLP

December 22, 2020

IBDC Alliance Member, Winget Spadafora and Schwartzberg Obtains Complete Dismissal of Class Action Arising From Alleged $1.6 Billion GPB Ponzi Scheme

On December 14, 2020, Winget, Spadafora & Schwartzberg LLP’s New York office obtained the dismissal of all claims filed against its client in a securities fraud […]
September 7, 2020

The “Zoom” Boom: FINRA Maintains Its Authority to Compel Virtual Hearings Over Member Objections

If we have learned anything in 2020, it is that the only thing constant in life is change.  The world has changed in just about every way […]
September 1, 2020
wssllp - FINRA Amends Its Suitability

FINRA Amends Its Suitability, Capital Acquisition Broker Suitability and Non-Cash Compensation Rules to Comply with Sec’s Regulation Best Interest

On June 19, 2020, FINRA issued Regulatory Notice 20-18, noting changes to FINRA’s suitability rule, Capital Acquisition Broker (“CAB”) suitability rule and rules governing non-cash compensation […]
September 1, 2020
wssllp finra issues new regulatory thumb

FINRA Issues New Regulatory Notice Regarding Private Placement Communications with the Public

FINRA has issued Regulatory Notice 20-21 which provides guidance to its member firms to help them comply with FINRA Rule 2201 pertaining to retail communications concerning […]
August 2, 2018

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, and registered investment advisors […]