Samuel E. Cohen: Lawyer with Marshall Dennehey Warner Coleman & Goggin, P.C.

Samuel E. Cohen

Samuel E. Cohen is a Shareholder with Marshall, Dennehey, Warner, Coleman & Goggin. As a member of the firm's 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.
Phone(215) 575-2587

Peer Rating
 5.0/5.0
AV® Preeminent

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Practice Areas

  • Securities Litigation
  • Real Estate Agent and Broker Defense
  • Legal Malpractice Defense
 
University Temple University, Philadelphia, Pennsylvania, B.A., Business Administration, Finance, 1993 Dean's List
 
Law SchoolTemple University School of Law, Philadelphia, Pennsylvania, J.D., 1996 Dean's List, Vice President, Graduating Class
 
Admitted1996, Pennsylvania; 1996, New Jersey
 
Memberships 

Associations & Memberships
•Pennsylvania Bar Association
•Philadelphia Bar Association

 
Biography

As a member of the Securities & Investments Professional 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 brokers and broker dealers before state and federal regulatory authorities and in arbitration, expungement and enforcement actions and investigations before the Financial Industry Regulatory Authority (FINRA). Sam's practice includes the defense of insurance brokers, mortgage brokers, mortgage companies, real estate agents and title agents in state and federal courts.

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 Bachelor of Business Administration and subsequently his juris doctor in 1996 from Temple University School of Law. At Temple Law School, Sam served as the vice president of his graduating class.

Classes/Seminars Taught

Legislative Update on Issues of Concern to Financial Advisors and Independent Broker Dealers, Financial Services Institute, April 2010

Published Works

•Bum Rap? Wrap Fee Programs Under Scrutiny, Westlaw Journal: Securities Regulation & Litigation, October 2014

•Regular contributor, Case Law Alerts, 2012 to present

•FINRA Requests Comment On Brokercheck Enhancements, Defense Digest, Vol. 18, No. 2, June 2012

•Covenants Not To Compete: Why You May Not Be Able To Work For Your Employer's Competitors, co-author, AgentsofAmerica.org, January 13, 2009

•FINRA Moves to Limit Dispositive Motions In Arbitration, PLUS Journal, Volume XXI, Number 1, January 2008

•NASD Approves Merger With The New York Stock Exchange, Defense Digest, Vol. 13, No. 2, June 2007

•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, Vol. 13, No. 2, June 2007

•529 Plans: Tax Free Withdrawals Now Permanent, But Regulatory Concerns Remain, Defense Digest, Vol. 13, No. 1, March 2007

•U.S. Supreme Court Continues Its Strong Support Of Arbitration, Defense Digest, Vol. 12, No. 2, June 2006

•Agreements To Arbitrate Upheld By Pennsylvania State And Eastern District Court Despite Alleged Confidential Relationship Between Plaintiff Investors And Defendant Stockbrokers, Defense Digest, Vol. 11, No. 3, September 2005

•Judge Reversed On Order Compelling Court Action To Arbitration, Defense Digest, Vol. 10, No. 1, March 2004

•NASD Reminds Firm Of Their Discovery Obligations, Defense Digest, Vol. 10, No. 1, March 2004

•NASD Members Are Warned To Give Investors Their Required Breaks, PLUS Journal, September 2003, Vol. XVI, No. 9 and Defense Digest, Vol. 9, No. 2, June 2003

•Injured Plaintiff Has No Direct Action Against Tortfeasor's Insurer For 'Bad Faith', Pittsburgh Legal Journal, June 9, 1998

•No Assignment -- No Excess Garnishment, Defense Digest, Vol. 4, No. 3, June 1998

Honors & Awards
•AV Peer Review Rating by LexisNexis Martindale-Hubbell
•Pennsylvania Super Lawyers Rising Star, 2005-2008

Year Joined Organization: 1997

Publications
Bum Rap? Wrap Fee Programs Under Scrutiny
Articles • October 16, 2014
PA Supreme Court To Hear Failure To Disclose Psychological Damage To Property Appeal
Law Alerts • January 29, 2014
The Pennsylvania Supreme Court recently granted the petition for allowance of appeal of a December 26, 2012, Superior Court ruling that psychological damage to real property is not considered a material defect in the property which must be revealed..., Case Law Alert, January 29, 2014This Law Alert has been prepared by Marshall Dennehey Warner Coleman & Goggin to provide information on recent legal developments of interest to our readers. It is not intended to provide legal advice for a...
Claimants have significant recovery in FINRA arbitration related to investments in Inland offerings.
Law Alerts • January 2, 2014
The claimants filed a FINRA Arbitration in Tampa, Florida, related to their investments in illiquid Inland Western and Inland American Real Estate Investment Trust offerings. The claimants sought compensatory damages of $1 million as well as...
Broker found to have no duty to warn of tax implications.
Law Alerts • January 2, 2014
The customer complained that the broker failed to adequately advise her of the tax implications of her premature withdrawal from a variable annuity in an IRA. The arbitrator found in favor of the broker and broker/dealer on all counts. Case...
Broker found to have no duty to warn of tax implications.
Law Alerts • January 2, 2014
The customer complained that the broker failed to adequately advise her of the tax implications of her premature withdrawal from a variable annuity in an IRA. The arbitrator found in favor of the broker and broker/dealer on all counts. Case...
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...
Defense verdict in FINRA arbitration.
Law Alerts • April 11, 2013
The respondents were represented by Denis Dice and Joel Wertman of Marshall Dennehey Warner Coleman & Goggin in a claim where the claimant sought damages for an alleged unsuitable recommendation of a variable annuity for the claimant's IRA..., Case Law Alerts - 2nd Quarter 2013
FINRA hearing panel rules Schwab can ban client class action suits.
Law Alerts • April 11, 2013
A Financial Industry Regulatory Authority hearing panel ruled that Charles Schwab can prohibit its customers from bringing class action lawsuits. The panel said the ban violates FINRA's rules, but that those rules conflict with the Federal..., Case Law Alerts - 2nd Quarter 2013
SEC v. Gabelli reversed on discovery rule grounds.
Law Alerts • April 11, 2013
The U.S. Supreme Court rejected the SEC's argument that an agency should be entitled to the protection of the Discovery Rule in an enforcement action seeking a civil penalty for an alleged act of fraud. In Gabelli, the action had been filed..., Case Law Alerts - 2nd Quarter 2013

 
Reported CasesSignificant 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.; Defense award obtained in FINRA arbitration on behalf of broker and broker-dealer where the public customer alleged that she was not properly advised regarding the tax implications resulting from a premature withdrawal from a variable annuity in a IRA account.; Motion to dismiss granted on behalf of title insurance agent in Federal civil RICO case.; Expungement obtained in FINRA arbitration on behalf of broker in case involving suitability of non-publicly traded REITs.; Dismissal on behalf of real estate agent in seller's disclosure case.; Dismissal on behalf of supervising life insurance general agent in wrongful termination case.; Motion for judgment on the pleadings granted on behalf of title insurance agent in real estate fraud case. Published Works ;Bum Rap? Wrap Fee Programs Under Scrutiny, Westlaw Journal: Securities Regulation & Litigation , October 2014 ;Regular contributor, Case Law Alerts , 2012 to present ;FINRA Requests Comment On Brokercheck Enhancements, Defense Digest , Vol. 18, No. 2, June 2012 ;Covenants Not To Compete: Why You May Not Be Able To Work For Your Employer's Competitors, co-author, AgentsofAmerica.org, January 13, 2009 ;FINRA Moves to Limit Dispositive Motions In Arbitration, PLUS Journal, Volume XXI, Number 1, January 2008 ;NASD Approves Merger With The New York Stock Exchange, Defense Digest , Vol. 13, No. 2, June 2007 ;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 , Vol. 13, No. 2, June 2007 ;529 Plans: Tax Free Withdrawals Now Permanent, But Regulatory Concerns Remain, Defense Digest, Vol. 13, No. 1, March 2007 ;U.S. Supreme Court Continues Its Strong Support Of Arbitration, Defense Digest , Vol. 12, No. 2, June 2006 ;Agreements To Arbitrate Upheld By Pennsylvania State And Eastern District Court Despite Alleged Confidential Relationship Between Plaintiff Investors And Defendant Stockbrokers, Defense Digest , Vol. 11, No. 3, September 2005 ;Judge Reversed On Order Compelling Court Action To Arbitration, Defense Digest, Vol. 10, No. 1, March 2004 ;NASD Reminds Firm Of Their Discovery Obligations, Defense Digest, Vol. 10, No. 1, March 2004 ;NASD Members Are Warned To Give Investors Their Required Breaks, PLUS Journal, September 2003, Vol. XVI, No. 9 and Defense Digest, Vol. 9, No. 2, June 2003 ;Injured Plaintiff Has No Direct Action Against Tortfeasor's Insurer For 'Bad Faith', Pittsburgh Legal Journal, June 9, 1998 ;No Assignment -- No Excess Garnishment, Defense Digest , Vol. 4, No. 3, June 1998
 
ISLN912186540
 

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PA Supreme Court To Hear Failure To Disclose Psychological Damage To Property Appeal
Samuel E. Cohen, February 3, 2014
The Pennsylvania Supreme Court recently granted the petition for allowance of appeal of a December 26, 2012, Superior Court ruling that psychological damage to real property is not considered a material defect in the property which must be revealed by the seller to the buyer.


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Office Information

Samuel E. Cohen

2000 Market Street, Suite 2300
PhiladelphiaPA 19103




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