Michael Schwartzberg

Michael Schwartzberg is co-managing partner of Winget, Spadafora & Schwartzberg, LLP, and Chair of the firm’s Financial Services Litigation and Regulatory Group. Mr. Schwartzberg’s practice focuses primarily on the litigation and arbitration of corporate and commercial disputes, with an emphasis on securities-related claims. Mr. Schwartzberg has substantial experience representing securities broker-dealers, registered investment advisors, registered representatives and other professionals throughout the United States in a wide array of customer and industry disputes before the Financial Industry Regulatory Authority (“FINRA”), as well as various state and federal courts. In addition, Mr. Schwartzberg has substantial experience handling regulatory investigations and proceedings, as well as advising clients on securities industry agreements. Mr. Schwartzberg is also a frequent lecturer on topics and developments in the securities industry, including the Practising Law Institute (“PLI”), the annual FSI conference and numerous client-sponsored seminars.

7c. BD/IA – Proactive Supervision:  Handling Disciplinary Issues and Related Problems (Intermediate)