Financial Services Professional Liability

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.

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.

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.

Defense of negligence deception, and criminal conversion, alleging that the estate was entitled to punitive damages based on transfer of decedent’s funds

FINRA Arbitration

Messmer v. KDK Financial Services, Inc

Plaintiff appealed adverse trial court judgment in financial services liability claim

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.

Stipulated dismissal of financial advisor on plaintiffs claims of fraudulent inducement to purchase universal life insurance policy

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.  

Obtained summary judgment in favor of an annuity broker facing claims of financial services fraud.

FINRA arbitration of broker/dealer financial services liability claim

Defense against fiduciary claims asserted by a Plan participant against actuary for improper distributions of Plan assets

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.

Defense of accounting malpractice claim                           

Defense of financial services professional liability claim

Defense of financial services error & omission claim

Early dismissal of certified public accountant on claims of malpractice and conspiracy

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.

Defense of broker dealer financial services liability claim

Defense of broker in financial services liability claim

FINRA Arbitration defense of securities broker dealer

Defense of disciplinary action by Certified Financial Planning Board

FINRA arbitration defense of financial services professional liability claim

FINRA Securities Arbitration defense involving claim of unsuitability of variable annuity products to plaintiffs