Joel Wertman, a shareholder in the firm's Philadelphia office, maintains a general litigation practice with primary focus on disputes in the securities, insurance and real estate industries. He has represented clients in a wide range of litigation matters to include public customer disputes in state court, federal court and arbitration, as well as employment disputes seeking monetary and injunctive relief in state and federal courts. He also represents clients in regulatory enforcement matters initiatied by the SEC, FINRA and state regulatory bodies.
Joel has litigated claims involving a wide spectrum of investments including REITS, Tenants in Common, private placements, variable annuities, limited partnerships, mutual funds, individual equities and debt. He has handled litigation involving complex benefit plans such as 419 welfare benefit plans and 412(i) pension plans. As well, Joel has defended claims involving allegations of defamation, discrimination, and wrongful termination brought by former employees. He also has extensive experience representing institutional clients in bankruptcy court adversary proceedings.
In 2003, Joel was admitted to the Pennsylvania Bar. He received his undergraduate degree in English from Johns Hopkins University where he was also the captain and a four-year member of the men's varsity basketball team. Joel earned his juris doctor from Temple University where he was also editor in chief of the Environmental Law and Technology Journal, and a member of Temple's mock trial team. While attending law school, Joel worked as a summer associate at Marshall Dennehey and also as a summer clerk for the Honorable Charles Smith, federal judge for the Eastern District of Pennsylvania.
•Outside Counsel's Perspectives of the Evolution of Public Customer Litigation and Registered Representative's Best Practices for Risk Management, Concorde Investment Services Spring Conference, May 2014
•Expungement of Customer Complaints, Protocol Transition Issues, Suitability Issues for Seniors and FINRA Arbitration Statistics, Financial Services Institute (FSI) webinar, November 2009
•Best Practices for Insurance Agents and Brokers,Valley Forge Financial Group, Inc., June 2009
•Clearing the Record: Examining the Expungement Process, Westlaw Journal Securities Litigation & Regulation, October 30, 2014
• Financial Advisor Forecast: Stormy With Scattered Data Breaches, Financial Advisor, June 23, 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
• FINRA Amendments to Discovery Guide: Need-to-Know Info for Claims, PropertyCasualty360.com, December 2013
•FINRA's New Suitability Rule and the Important Changes for Members to Ensure Best Practices, Defense Digest, Volume 18, No. 4
•Covenants Not To Compete: Why You May Not Be Able To Work For Your Employer's Competitors, agentsofamerica.org, December, 2007
•A Time For Change: Recent Alterations to the NASD Code Will Affect The Litigation Process and Defense Costs for Public Customer Arbitrations, Defense Digest, September, 2007
•Selling To And Advising Seniors, agentsofamerica.org, September, 2007
•Avoiding The Wrath Of The SEC: A Broker Dealer Refresher As To Preservation Of Records, PLUS Journal, February, 2007
•The Importance Of The Brownfields Revitalization And Economic Restoration Act, Temple Environmental Law and Technology Journal, Spring, 2002
Honors & Awards
•Pennsylvania Super Lawyer Rising Star, 2013-2014
Year Joined Organization
Marshall Dennehey Warner Coleman & Goggin Elects New Shareholders
December 14, 2012
Philadelphia, PA - Marshall Dennehey Warner Coleman & Goggin is pleased to announce that the following 13 attorneys were elected shareholders at the Annual Shareholders' Meeting on December 11, 2012: Christopher Boyle, Esq.; James Lare, Esq.; Thomas Marcoz, Esq.; Brian McNulty, Esq.; Raymond...