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. 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.

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

Published Works

•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

2002

Publication

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
Nearly $4 million awarded to registered representatives who sued their former broker dealer for fabricating customer complaints.
Law Alerts • October 1, 2014
The claimants originally complained about investments in unspecified real estate investment trusts. The respondents then brought a third-party action against the principal and their former broker dealer, arguing that he assisted the claimants in..., Case Law Alerts, 4th Quarter, October 2014
SEC obtains nearly $70 million judgment against firms and CEOs found liable for defrauding investors.
Law Alerts • October 1, 2014
In April 2011, the SEC filed a complaint against a number of Richmond, Virginia-based firms and CEOs, alleging that they devised and orchestrated a fraud-related offering of millions of dollars of promissory notes and stock sold to numerous..., Case Law Alerts, 4th Quarter, October 2014
Financial Advisor Forecast: Stormy With Scattered Data Breaches
Articles • June 23, 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...
Claimant's claim denied and respondent awarded attorney's fees due to claimant's bad faith in FINRA arbitration.
Law Alerts • April 1, 2014
The claimant filed a FINRA arbitration in Washington, D.C., seeking $350,000 in compensatory damages related to discrepancies and unauthorized transactions in her accounts. The arbitration panel found that the claimant failed to present any credible..., Case Law Alerts, 2nd Quarter, April 2014
FINRA levies record fine of $8 million for substantial anti-money laundering compliance failures.
Law Alerts • April 1, 2014
Penny stock transactions raise heightened risks because low-priced securities may be manipulated. FINRA found that Brown Brothers Harriman executed or delivered securities involving at least six billion shares of penny stocks, many on behalf of..., Case Law Alerts, 2nd Quarter, April 2014
Claimants awarded more than $6 million in FINRA arbitration related to transactions in real estate investment trusts.
Law Alerts • January 2, 2014
The claimants filed a FINRA Arbitration in Minneapolis, Minnesota, seeking compensatory damages of $12.5 million related to the recommendation of several allegedly unsuitable transactions in real estate investment trusts and other real estate...
Case dismissed under FINRA six-year eligibility rule.
Law Alerts • January 2, 2014
A Washington, D.C. arbitration panel dismissed the claimant's claim against the respondents in their entirety, with prejudice, because the only “occurrence or event (that could be deemed to give) rise to the act or dispute, claim or...

News

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...

 
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.
 
ISLN917730359
 

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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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