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

Client Rating

Featured AV Peer Review Rated Lawyer IconFeatured AV Peer Review Rated Lawyer Icon
Printer Friendly VersionEmail this PageDownload to My Outlook ContactsAdd lawyer to My FavoritesCompare this lawyer to other lawyers in your favorites

Experience & Credentials Ratings & Reviews
 

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

 
Reported CasesSignificant Representative Matters: Directed verdict obtained on behalf of a broker-dealer and a broker in a FINRA arbitration in New York. The Claimant, owner of a broker-dealer, alleged he was being charged an unreasonable mark-up on municipal bond sales and that he was the victim of elder abuse. In granting the motion to dismiss, the arbitration panel found that the Claimant failed to present a basis for his claim and recommended expungement of all references to the arbitration from the broker's records maintained by FINRA on the grounds that the claim, allegation or information was factually impossible or clearly erroneous. As well, the panel found the mark-ups on the municipal bonds sold to Claimant were not unfair or unreasonable and were not inconsistent with industry regulations.; 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.
 
ISLN912186540
 

Documents by this lawyer on Martindale.com

Subscribe to this feed

FINRA Presents Bond Disclosure Revisions for Public Comment
Terrance A. Bostic,Jeffrey J. Chomko,Samuel E. Cohen,Andrew W. Davitt,Denis C. Dice, April 9, 2015
In an effort to increase transparency about potentially hidden markups in bond transactions, FINRA proposed potential rule revisions for public comment. The proposed rule changes, a companion to an almost identical proposal put forth by the MSRB covering municipal bonds, require bond dealers in...

SEC Poised to Clarify Standard of Care for Investment Brokers and Investment Advisors
Terrance A. Bostic,Jeffrey J. Chomko,Samuel E. Cohen,Andrew W. Davitt,Denis C. Dice, April 9, 2015
The SEC has announced that it will be revisiting the question of whether to establish a uniform standard of care that would cover both investment brokers and investment advisors. Currently, investment brokers or registered representatives are governed by the suitability standard because they...

Wall Street and FINRA at Odds Over FINRA’S Comprehensive Automated Risk Data System
Terrance A. Bostic,Jeffrey J. Chomko,Samuel E. Cohen,Andrew W. Davitt,Denis C. Dice, April 9, 2015
The Securities Industry and Financial Markets Association, a Wall Street lobbying group, has joined in the criticism of FINRA’s announced Comprehensive Automated Risk Data System (CARDS). In a 63-page letter, the group criticized the proposed CARDS program for the projected cost of...


View Ratings & Reviews
Profile Visibility
#1,046 in weekly profile views out of 17,465 lawyers in Philadelphia, Pennsylvania
#102,587 in weekly profile views out of 1,722,821 total lawyers Overall

Office Information

Samuel E. Cohen

2000 Market Street, Suite 2300
PhiladelphiaPA 19103




Loading...
 

Professional Networking for Legal Professionals Only

Quickly and easily expand your professional
network - join the premier global network for legal professionals only. It's powered by the
Martindale-Hubbell database - over 1,000,000 lawyers strong.
Join Now