Reminger's Financial Services Professional Liability Practice Group handles claims and disputes facing accountants, accounting firms, actuaries, banks, bankruptcy consultants, brokers, enrolled agents, life agent/brokers, pension consultants, receivers, Taft-Hartley consultants, tax preparers, third party administrators, trustees, and turn around consultants.

In addition to the formation, dissolution and transactional needs of its clients, Reminger is uniquely positioned to handle the regulatory, litigation and arbitration disputes of its clients before state and federal courts and other state regulatory agencies.

For more information on our Securities Litigation practice, click here.


“My associates and I are very pleased with the quality of services, reporting and results achieved by not only partner Sean Needham, but also all of the members of Reminger’s Financial Services Liability group."
-Elan, Claim Manager

“We can count on Reminger lawyers keeping our Management Solutions Group up to date on the law and trends.”
-Doug, Team Leader, Financial Lines Claims

“I appreciate Reminger’s services as local counsel for our clients that we serve as national counsel.  Logan Hughes of the Indianapolis office stays on top of our cases and has excellent rapport with the federal courts’ personnel and judges who address most of our cases.”
-Craig Sanders, Associate Counsel

“When it comes to financial services liability, we set the standards very high. I am pleased to say that the Reminger firm always delivers quality service and value. I enjoy working with Reminger partners Andy Dorman, Sean Needham and Brian Nally in the best interest of our agents, brokers, and advisors.”
-Gregory, VP, Life Agent Broker-Dealer Claims Team




  • Feb 23, 2024
  • Oct 17, 2022
  • Sep 13, 2021
  • Sep 13, 2021
  • Sep 9, 2021
  • Aug 19, 2021
  • Jun 8, 2021
  • May 18, 2021
  • 2020 Third Annual Current Issues in FINRA Arbitration and Enforcement Regional CLE
    Fort Lauderdale, FL, Feb 20, 2020
  • Updates and Trends in Accounting Malpractice, Securities Litigation and Banking Disputes
    Webinar, Jan 21, 2020
  • Rogue Brokers – Issues and Strategies for Risk Officers
    Los Angeles, CA, Dec 4, 2019
  • Rogue Brokers – Tips and Strategies for Representing the Firm
    San Diego, CA, Oct 28, 2019
  • Strategies for Addressing New or Novel Damage Theories
    San Diego, CA, Oct 28, 2019
  • Compliance and Regulatory Issues Confronted by Securities Compliance Professionals and In-House Counsel
    Columbus, OH, Oct 25, 2019
  • Technology for E-Discovery
    Denver, CO, Aug 15, 2019
  • Updates in Financial Advisor and Financial Institution Liability
    Jersey City, NJ, Jun 12, 2019
  • Recent Trends: Insurance Agent and Broker Error & Omissions
    Cleveland, OH, Apr 14, 2019
  • The Arbitration Process
    Cleveland, OH, Mar 21, 2019
  • Webinar, Mar 20, 2019
  • The Ins and Outs of Investigations and Inquiries – What to Do and How to Do It
    Tampa, FL, Feb 22, 2019
  • Proposed ‘Best Interest’ Standard for Brokers: What Is It and Why You Need to Know
    Webinar, Nov 9, 2018
  • Mutual Fund Due Diligence and theSupervision of Dually Registered Representatives
    Amelia Island, FL, Oct 16, 2018
  • Suing and Collecting from Insolvent Broker‐Dealers: Interplay Between Bankruptcy and FINRA Cases
    Bonita Springs, FL, Oct 11, 2018
  • Who is a Fiduciary and Why it Matters and Tips for Financial Services Compliance and Risk Management
    Philadelphia, PA, Sep 12, 2018
  • Concentration Limits: How Much is Too Much?
    Los Angeles, CA, Aug 15, 2018
  • Supervising Dually Registered Representatives
    Los Angeles, CA, Aug 14, 2018
  • Cryptocurrencies and Initial Coin Offerings
    Webinar, Apr 24, 2018
  • Professionalism in the Context of Civil Litigation
    Hartford, CT, Feb 27, 2018
  • Theft vs. Selling Away—Is there a Distinction?
    Tampa, FL, Feb 26, 2018
  • Trends in Life Agent and Broker/Dealer Claims
    Tampa, FL, Feb 27, 2017
  • Trends in Life Agent and Broker/Dealer Claims
    Tampa, FL, Feb 27, 2017
  • Phoenix, AZ, Sep 28, 2016
  • Trends and Best Practices in FINRA Arbitrations, Investigations and Enforcement  Action
    Cleveland, OH, Aug 18, 2016
  • Trends and Best Practices in FINRA Arbitration, Investigations and Enforcement Actions
    Cleveland, OH, Aug 12, 2016
  • Winning at Mediation
    Hartford Financial Products Claim office, New York, NY, Feb 3, 2016
  • Accountant Malpractice Risk Management
    Ohio Society of CPAs, Cincinnati, OH, Sep 29, 2015
  • Defense Perspectives in Arbitration
    Ohio Association for Justice, Columbus, OH, Nov 6, 2014
  • Importance of Expungement in Alleged Security Violations
    Zurich Insurance FI, D&O and EPL Claim Department Seminar, New York, NY, Sep 30, 2014
  • Recent Developments in the Securities Industry
    Zurich Insurance FI, D&O and EPL Claim Department Seminar, New York, NY, Sep 30, 2014
  • Best Practices in Responding to E-Discovery
    Cleveland Academy of Trial Counsel Association - Cleveland, OH, Jan 30, 2014
  • Federal Regulatory Reform: The Dodd Frank Act
    Eagle International Associates, Inc. Fall Conference - New York, NY, Oct 14, 2011
  • Legal Professional Liability Trends in View of Financial Institution Meltdown
    Professional Liability Attorney Network (PLAN) Seminar - Hartford, CT, Apr 13, 2011
  • The Dodd-Frank Recent Legislation Effect on Legal Counsel and Insurance Brokers - Ancora Group
    Cleveland, OH, Mar 22, 2011
  • The Dodd-Frank Recent Legislation Effect on Security Dealers and Investment Advisors - Ancora Group
    Cleveland, OH, Mar 22, 2011
  • The Interplay Between Financial Services and Legal representation and Involvement. - Cedarbrook Financial Partners
    Cleveland, OH, Jan 28, 2011
  • Overview of Financial Services Liability Exposures - Cedarbrook Financial Partners
    Cleveland, OH, Jan 28, 2011
  • The Primer on Dispute Resolution under FINRA - Cedarbrook Financial Partners
    Cleveland, OH, Jan 28, 2011



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