Joel Wertman: Lawyer with Marshall Dennehey Warner Coleman & Goggin, P.C.

Joel Wertman

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.
Phone(215) 575-2586

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Experience & Credentials
 

Practice Areas

  • Securities
  • Professional Liability
  • Insurance Defense
 
University Johns Hopkins University, B.A., English, 2000
 
Law SchoolTemple University James E. Beasley School of Law, Philadelphia, Pennsylvania, J.D., 2003 Mock Trial Team, Temple Environmental Law and Technology Journal, Editor in Chief
 
Admitted2003, Pennsylvania; 2003, New Jersey
 
Memberships 

Associations & Memberships

• American Bar Association

• Pennsylvania Bar Association

• Philadelphia Bar Association

 
Biography

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.

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 received 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.

Classes/Seminars Taught

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

Honors & Awards

• Pennsylvania Super Lawyer Rising Star, 2013-2014

Year Joined Organization: 2002

 
Reported CasesSignificant Representative Matters: Dismissal of NASD (now FINRA) Complaint prior to hearing in customer dispute alleging unsuitable recommendations as to surrender and exchange of annuity products; Award of zero damages for FINRA dispute related to alleged damages stemming from recommendation of annuity products; Numerous successful arguments in federal court with respect to requests for injunctive relief on behalf of broker dealer clients; Participated in successful defense of numerous matters with significant exposure to include defense verdict in claim for damages for alleged investment advices related to participation in business entities which were outside business activities of the registered representative.; Published Works: 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
 
ISLN917730359
 

Documents by this lawyer on Martindale.com

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FINRA Takes Steps to Alter CRD Expungement Rules: Are More Stringent Rules Aimed Toward Disclosure on the Horizon?
Allison Livezey,Joel Wertman, June 4, 2014
During the week of February 13, 2014, the Financial Industry Regulatory Authority (FINRA) Board of Governors met to discuss a number of issues, including potential rulemaking initiatives. One issue FINRA addressed was the process by which a registered representative may have his/her public record...

FINRA Takes Steps to Alter CRD Expungement Rules: Are More Stringent Rules Aimed Toward Disclosure on the Horizon?
Allison Livezey,Joel Wertman, May 29, 2014
During the week of February 13, 2014, the Financial Industry Regulatory Authority (FINRA) Board of Governors met to discuss a number of issues, including potential rulemaking initiatives. One issue FINRA addressed was the process by which a registered representative may have his/her public record...
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Office Information

Joel Wertman

2000 Market Street, Suite 2300
PhiladelphiaPA 19103




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