Overview
In an effort to address the increasing demand of clients facing financial disputes, Reminger has dedicated its resources to satisfy this need.
The 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.
Honors & Recognitions
Reminger is proud to announce that U.S. News & World Report and Best Lawyers® awarded the firm with a number of national and regional rankings. In addition, our Professional Malpractice Law-Defendants Practice was ranked as Metropolitan Cleveland Tier 1 for 2021.
Testimonials
“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
Results
- Oct 30, 2019, Judgment Affirmed5th Dist. Ct. Appeals
Autumn Health Care, et al v. Peoples Bank
Affirmation of trial court's granting of motion for judgment on pleadings and dismissal of all claims against bank-client. Also, reversal of trial court's dismissal of indemnification claim with instructions to the trial court allowing for seeking of judgment in favor for all attorney fees for defense of suit.
- Aug 7, 2019, All Claims Dismissed in Their EntiretyFINRA Arbitration
Defense of respondent insurance agent from claims of negligence, negligent and fraudulent misrepresentations, and unsuitability.
- Jun 5, 2019, Motion for Summary Judgment GrantedMahoning County Court of Common Pleas
Plaintiff filed a lawsuit against our insurance agent client, alleging that the insurance agent recommended unsuitable insurance products and committed fraud through alleged misrepresentations and omissions in presenting the products to the client. We successfully defended the insurance agent and obtained a complete dismissal of all claims.
- Mar 8, 2019, Motion for Judgment on Pleadings GrantedLicking County Court of Common Pleas
Plaintiff filed a lawsuit against our banking client, alleging the bank improperly handled the collection on a loan. We successfully argued that the bank acted properly under the loan documents and applicable law, and obtained complete dismissal of all claims.
- Sep 7, 2018, Defense VerdictHoward County, Indiana
Defense of negligence deception, and criminal conversion, alleging that the estate was entitled to punitive damages based on transfer of decedent’s funds
- Oct 5, 2017, Award in favor of our clientsFINRA Office of Dispute Resolution, Chicago, IL
FINRA Arbitration
- Sep 14, 2017, Summary Judgment AffirmedIndiana Court of Appeals
Messmer v. KDK Financial Services, Inc
Plaintiff appealed adverse trial court judgment in financial services liability claim
- Aug 25, 2017, Motion for Summary Judgment GrantedCuyahoga County
Defense of putative class action alleging fraud, breach of fiduciary duty, unjust enrichment, and breach of privacy claims against an asset retrieval company for services performed throughout Ohio.
- Apr 3, 2017, DismissalUnited States Disctrict Court for the Southern District of Ohio
Stipulated dismissal of financial advisor on plaintiffs claims of fraudulent inducement to purchase universal life insurance policy
- Mar 30, 2017, Summary Judgment GrantedLake County Court of Common Pleas
Defense of an insurance agent from a claim of declaratory judgment brought by a Plaintiff who asserted that she should have been the only beneficiary on a life insurance policy.
- Dec 19, 2016, Summary JudgmentMonroe County
Obtained summary judgment in favor of an annuity broker facing claims of financial services fraud.
- Nov 2, 2016, Defense VerdictJefferson County
FINRA arbitration of broker/dealer financial services liability claim
- Mar 30, 2016, Motion for Summary Judgment GrantedU.S. District Court, Northern Ohio
Defense against fiduciary claims asserted by a Plan participant against actuary for improper distributions of Plan assets
- Apr 21, 2015, Petition for a writ of certiorari deniedU.S. Supreme Court
Dublin Eye Associates, P.C., et al. v. Massachusetts Mutual Life Insurance Co.
Plaintiff appealed adverse U.S. 6th Circuit Court of Appeals judgment in ERISA breach of fiduciary duty claims.
- Wilmington Savings Bank v. Dixon, Davis Bagent & Company & Matthew J. Bagent, CPAApr 15, 2015, Motion For Summary Judgment GrantedClinton
Defense of accounting malpractice claim
- Feb 23, 2015, Motion for Judgment on the Pleadings grantedU.S. District Court, Southern District of Ohio
Defense of financial services professional liability claim
- Aug 29, 2014, Granting of Motion to DismissMarion County, IN
Defense of financial services error & omission claim
- Jan 15, 2014, DismissalU.S. District Court, Northern District of Ohio
Early dismissal of certified public accountant on claims of malpractice and conspiracy
- Jan 13, 2014, Directed VerdictFINRA
Defense of arbitration claim brought forth by claimants concerning the purchase of five variable annuity products. After claimants' case-in-chief, the arbitrator panel granted directed verdict and agreed that the claim was factually impossible and there was an absence of damages.
- Nov 27, 2013, Motion to Dismiss GrantedSummit
Defense of broker dealer financial services liability claim
- Oct 24, 2013, Motion to Dismiss GrantedCuyahoga
Defense of broker in financial services liability claim
- Aug 30, 2013, Favorable OutcomeFINRA
FINRA Arbitration defense of securities broker dealer
- Apr 30, 2013, Chicago, ILDismissal of Action
Defense of disciplinary action by Certified Financial Planning Board
- Dec 14, 2012, Favorable OutcomeDetroit, MI
FINRA arbitration defense of financial services professional liability claim
- Dec 23, 2011, Award for DefendantIndianapolis, IN
FINRA Securities Arbitration defense involving claim of unsuitability of variable annuity products to plaintiffs
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Main Contacts
- Co-ChairCleveland
- Co-ChairCleveland
- Co-ChairCleveland
- Co-ChairCleveland
- Cincinnati
- Sandusky
- Indianapolis
- Louisville
- Indianapolis
All Practice Group Attorneys
- Andrew J. Dorman
- Brian P. Nally
- Sean T. Needham
- Joseph S. Simms
- Vincent P. Antaki
- Joseph Borchelt
- Michael P. Gilbride
- Anthony L. Holton
- David R. Hudson
- B. Scott Jones
- Zachary R. Durant
- Robert W. Hojnoski
- Logan C. Hughes
- Andrew T. Illig
- Jonathan Krol
- Danielle J. Lewis
- Rafael P. McLaughlin
- Acacia Brush Perko
- Zachary B. Pyers
- Carrie Masters Starts
- P. Michael Ward