As a member of the Securities & Investments Liability Practice Group, Sam devotes all of his practice to the defense of broker-dealers, individual stockbrokers, insurance agents and other investment professionals in state and federal court. As well, Sam represents these professionals before state and federal regulatory authorities and the Financial Industry Regulatory Authority (FINRA). In addition, Sam's practice includes the defense of insurance brokers, mortgage brokers, mortgage companies, real estate agents and title agents in state and federal court. Prior to joining Marshall Dennehey in 2002, Sam was associated with Fox, Rothschild, L.L.P. in Philadelphia. While at Fox, Rothschild, Sam focused on commercial, securities, insurance and bankruptcy litigation. From 1996 through 1997, Sam served as a law clerk to the Honorable G. Craig Lord in the Court of Common Pleas of Philadelphia County. Sam graduated from Temple University in 1993 where he received a Bachelors of Business Administration and subsequently received his Juris Doctorate in 1996 from Temple University School of Law. At Temple Law School, Sam served as the vice president of his graduating class. Significant Representative Matters · Represented a broker-dealer and broker in FINRA arbitration alleging unsuitability and securities fraud in sale of a variable annuity. The defense was presented on the grounds that the variable annuity was suitable to the investment objectives of the customer and that any losses sustained by the customer were market related. Defense verdict was obtained and customer was required to pay all forum fees. · Defense of broker-dealer in "selling away" case in FINRA arbitration alleging failure to supervise broker who allegedly operated a Ponzi scheme while affiliated with the broker dealer. Defense proceeded on the grounds that the broker-dealer's supervision of the broker was reasonable and that the Plaintiff did not sustain any losses in his investment in the scheme. Defense verdict obtained. · Motion to dismiss, with prejudice, granted in FINRA arbitration based upon Plaintiff customer's repeated discovery violations. Motion to dismiss upheld in federal district court following petition to vacate arbitration award filed by Plaintiff customer. · Motion to dismiss granted in FINRA arbitration based upon FINRA Eligibility Rule. Year Joined Organization: 1997 Published Works: FINRA Moves to Limit Dispositive Motions In Arbitration, PLUS Journal, Volume XXI, Number 1, January, 2008 Article, Injured Plaintiff Has No Direct Action Against Tortfeasor's Insurer for Bad Faith, Pittsburgh Legal Journal Customer Account Statements Must Include Reminder To Customers To Report Inaccuracies In Their Accounts In Writing, Defense Digest, 2007-06, Vol. 13, No. 2 529 Plans: Tax Free Withdrawals Now Permanent, But Regulatory Concerns Remain, Defense Digest, 2007-3, Vol. 13, No. 1 U.S. Supreme Court Continues Its Strong Support Of Arbitration, Defense Digest, 2006-06, Vol. 12, No. 2 Agreements To Arbitrate Upheld By Pennsylvania State And Eastern District Court Despite Alleged Confidential Relationship Between Plaintiff Investors And Defendant Stockbrokers, Defense Digest, 2005-09, Vol. 11, No. 3 NASD Members Are Warned To Give Investors Their Required Breaks, PLUS Journal, 2003-09, Vol. XVI, No. 9 Honors and Awards: AV Peer Review Rating by LexisNexis Martindale-Hubbell Pennsylvania Super Lawyers Rising Star (2005-2008) Professional Associations and Memberships: Philadelphia Bar Association Pennsylvania Bar Association Past Employment Positions: Fox, Rothschild, O'Brien & Frankel, LLP, Associate Philadelphia Court of Common Pleas, Hon. G. Craig Lord, Law Clerk Philadelphia Court of Common Pleas, Hon. William J. Manfredi, Summer Law Clerk Defender Association of Philadelphia, Intern Philadelphia District Attorney's Office, Intern United States Attorney's Office, Intern |