Allison Livezey is a member of the Professional Liability Department, where the focus of her practice is in the defense of securities brokers/dealers, investment advisors, and other licensed real estate and insurance professionals in errors and omissions claims and suits. She also represents directors, officers and boards in D&O matters.
From June of 2012 through May of 2013, Allison served as a law clerk at Marshall Dennehey, where she assisted attorneys in trial preparation and conducted significant legal research. In May of 2013, Allison received her juris doctor from the Widener University School of Law, graduating magna cum laude, as a Widener Merit Scholar for all three of her years there.
In addition to various other achievements and awards in law school, Allison served as a legal extern for the Honorable Judge Jane Roth, U.S. Court of Appeals for the Third Circuit (Fall 2012), as a law clerk for the Community Legal Aid Society, Inc. Wilmington, DE (2011-2012) and as a summer intern for The Honorable Judge Robert Matthews, Family Court, Philadelphia, PA in 2011.
Allison graduated summa cum laude from the Roger Williams University in Bristol, Rhode Island in May of 2010, having earned a B.S. in Legal Studies and Psychology. For two years, Allison was the recipient of the academic achievement award for legal studies, and she obtained the highest GPA in the School of Justice Studies program. Allison was very active at Roger Williams University, serving as research assistant in the psychology department and as a domestic violence court advocate in the legal advocacy clinic. She also served as an intern and mentor at the Rhode Island Training School-R.I.T.S., working with incarcerated juvenile girls to help them build independence and self-esteem.
• Social Media Amid FINRA Rules, WealthManagement.com (parent website of REP magazine), July 31, 2015
• Clearing the Record: Examining the Expungement Process, Westlaw Journal Securities Litigation & Regulation, October 30, 2014
• Beware E & O Holes in Your Agency's Digital Efforts, Independent Agent, May 2014
•“FINRA Takes Steps to Alter CRD Expungement Rules: Are More Stringent Rules Aimed Toward Disclosure on the Horizon?,” Defense Digest, Vol. 20, No. 2, June 2014, Co-author
• How to Avoid Liability for Comments Posted on Your Company's Website, Co-Author, Mondaq.com, Fall 2012
Pro Bono Activities
•Roger Williams University - Legal Advocacy Clinic
•Community Legal Aid Society, Inc.
•Rhode Island Training School (R.I.T.S.)
Year Joined Organization
Social Media Amid FINRA Rules
Articles • July 31, 2015
An order to compel arbitration is appealable only from a judgment confirming the arbitration award.
Law Alerts • April 1, 2015
A court compelled the plaintiffs' claims to arbitration based on an arbitration clause contained in a new account form signed by the plaintiffs. The plaintiffs alleged that they never received copies of the arbitration agreement that was to..., Case Law Alerts, 2nd Quarter, April 2015Case Law Alerts is prepared by Marshall Dennehey Warner Coleman & Goggin to provide information on recent legal developments of interest to our readers. This publication is not intended to provide legal...
Panel dismisses claims and blames customers for broker's selling away activity.
Law Alerts • April 1, 2015
The claimants filed claims against the broker-dealer respondent in which they alleged that the respondent had failed to supervise their broker, resulting in an unsuitable recommendation by the broker to the claimants. The Panel ultimately denied the..., Case Law Alerts, 2nd Quarter, April 2015Case Law Alerts is prepared by Marshall Dennehey Warner Coleman & Goggin to provide information on recent legal developments of interest to our readers. This publication is not intended to provide legal...
Court upholds Panel's default judgment against claimant who alleged lack of service.
Law Alerts • April 1, 2015
The petitioner sought confirmation of a FINRA arbitration award of default judgment against the respondent, who alleged lack of service. In the underlying arbitration, the respondent was served with copies of the Statement of Claim (SOC) by..., Case Law Alerts, 2nd Quarter, April 2015Case Law Alerts is prepared by Marshall Dennehey Warner Coleman & Goggin to provide information on recent legal developments of interest to our readers. This publication is not intended to provide legal...
Legal Update for Securities
Law Alerts • March 20, 2015
Recent Litigation VictoriesIn a recent FINRA arbitration, Stanley Abel v. Janney Montgomery Scott, FINRA Arbitration No. 14-00018, Sam Cohen (Philadelphia, PA) obtained a directed verdict on behalf of his clients, Janney Montgomery Scott LLC, and..., The material in this law alert has been prepared for our readers by Marshall Dennehey Warner Coleman & Goggin. It is solely intended to provide information on recent legal developments, and is not intended to provide legal advice for a specific...
Clearing the Record: Examining the Expungement Process
Articles • October 30, 2014
FINRA Takes Steps to Alter CRD Expungement Rules: Are More Stringent Rules Aimed Toward Disclosure on the Horizon?
Defense Digest Article • June 1, 2014
By Joel Wertman, Esq. and Allison Livezey, Esq.*Key Points:Proposed FINRA rule pertaining to expungement of brokers' public records will prohibit conditioning customer settlements on agreements not to oppose expungement of...