• Business Litigation
• Securities Litigation and Arbitration
• Securities Industry Regulation & Investigations 
• Broker-Dealer Liability Defense
• Breach of Contract
• Trade Secrets/Unfair Competition
• Civil Litigation
• Family Law

Joe has successfully represented the following:

• A national securities firm and its branch manager in defense of claims brought by the trustee of a $200 million trust, seeking damages of several million dollars. All claims against our clients were dismissed and, after a successful appeal, we recovered all of our clients' attorneys' fees from the trust.
• A national securities firm in defense of claims of fraud and misappropriation. The claims against our client were dismissed prior to hearing. The Court of Appeals upheld the dismissal on appeal, holding, for the first time in Ohio, that parties filing arbitration claims must plead their fraud-based claims with the same degree of particularity as that required in court proceedings. We also successfully defeated a discretionary appeal to the Ohio Supreme Court brought by the opposition and amicus curiae.
• A regional securities firm in defense of a class action claim of fraud and misrepresentation in the sale of convertible bonds. All claims against our client were dismissed by the United States District Court for the Northern District of Ohio.
• A regional securities firm in the investigation of one of its former employee's theft and misappropriation of millions of dollars from dozens of customers resulting in the former employee's conviction and lengthy incarceration. As a result of our efforts, regulatory ramifications for the securities firm were successfully avoided, and no legal proceedings against our client were initiated by the affected customers.
• A national securities firm and its employee in defense of claims of negligent and intentional misconduct leading to damages, losses and significant taxes resulting from the transfer and distribution of IRA assets. All claims against our client were dismissed after arbitration.
• A national securities firm in defense of claims of unauthorized trading and switching between back-end mutual funds, resulting in the dismissal of all claims against our client after arbitration.
• A national securities firm in defense of claims of failure to supervise, over-concentration and failure to hedge brought by a claimant seeking millions of dollars of damages resulting from the decline of the share price of the publicly traded company where the claimant worked. All claims against our client were successfully resolved via mediation prior to hearing.
• A regional securities firm in defense of claims of fraud, misrepresentation and unauthorized trading brought by several dozen customers seeking millions of dollars in aggregate damages. All claims against our client were successfully resolved via mass mediations and negotiations.
• A regional securities firm in defense of claims of fraud and misrepresentation in the underwriting, sale and marketing of various limited partnerships. The claims, brought by over a dozen investors seeking millions of dollars in aggregate damages, were successfully resolved via mass mediations and negotiations.
• Numerous other brokers, broker-dealers and investment advisors in state and federal court litigation and NASD, NYSE and AAA arbitration claims asserted by customers alleging wrongdoing and mishandling of their investments and investment accounts, including claims of negligence, recklessness, breach of contract, breach of fiduciary duty, fraud, misrepresentation, churning and supervisory failures.
• Several brokers, broker-dealers and investment advisors in regulatory inquiries and investigations brought by various federal, state and private regulatory authorities, including the SEC, NASD, NYSE, the Ohio Department of Insurance and the Securities Division of the Ohio Department of Commerce.
• Many companies and individuals in business and commercial disputes asserted in state and federal court, including claims of breach of contract, fraud, negligence, tortious interference with contract, unfair competition and trade secrets violations.
• Numerous individuals in domestic relations and family law matters involving disputes relating to child support and spousal support, the allocation of parental rights and responsibilities, the division of marital property, including real estate, retirement and investment accounts, tax matters, paternity issues, and claims of domestic violence and abuse.

• Hollern v. Wachovia Securities, Inc., 2006 U.S. App. LEXIS 20995 (10th Cir. Aug. 16, 2006)
• Reinglass v. Morgan Stanley Dean Witter, Inc., 2006 Ohio 1542, 2006 Ohio App. LEXIS 1417 (8th Dist., Mar. 30, 2006), discretionary appeal not allowed by Reinglass v. Morgan Stanley Dean Witter, Inc., 2006 Ohio 4288, 2006 Ohio LEXIS 2515 (Ohio, Aug. 23, 2006)
• Cleveland Bar Association v. Judge, 94 Ohio St. 3d 331, 2002 Ohio 886, 763 N.E.2d 114, 2002 Ohio LEXIS 286 (Feb. 20, 2002)
• City of Cleveland v. Sohio Oil Co., 2001 Ohio App. LEXIS 5192 (8th Dist., Nov. 21, 2001)
• Adamo v. AT&T, 2001 Ohio App. LEXIS 4989 (8th Dist., Nov. 8, 2001)
• Kuznik v. State Farm Ins. Co., 23 Fed. Appx. 400, 2001 U.S. App. LEXIS 24159 (6th Cir., Oct. 31, 2001)
• Kader v. Nixon, 2000 Ohio App. LEXIS 4811 (9th Dist., Oct. 11, 2000)
• Lorence v. Goeller, 2000 Ohio App. LEXIS 3221 (9th Dist., Jul. 19, 2000)
• Coseriu v. Coseriu, 1999 Ohio App. LEXIS 4447 (8th Dist., Sept. 23, 1999)
• Cleveland Bar Association v. Verbiski, 86 Ohio St. 3d 627, 1999 Ohio 244, 716 N.E.2d 702, 1999 Ohio LEXIS 2945 (Sept. 22, 1999)
• Coseriu v. Coseriu, 1998 Ohio App. LEXIS 3144 (8th Dist., Jul. 9, 1998)
• Santoli v. Marbuery, 1998 Ohio App. LEXIS 2182 (8th Dist., May 14, 1998)
• Coseriu v. Coseriu, 1997 Ohio App. LEXIS 3211 (8th Dist., Jul. 24, 1997)

Publications
“The ‘New’ Code of Arbitration Procedure,” Author and Editor, Ulmer & Berne LLP, Financial Law Resource (Summer 2007)

“D.C. Circuit Court Decision Overturning SEC Broker Rule Still Garnering Attention” Co-Author, Ulmer & Berne LLP, Client Alert (May 2007)

“Ramifications of Inadvertent Disclosure of Privileged Information,” Author, American Bar Association Section of Litigation, Litigation Update: Your Monthly Link to the Section of Litigation (April 2007); republished in American Bar Association Section of Litigation, Trial Practice 07

“Hiring Investigators: Lessons For Litigators In The Wake of The Hewlett-Packard Scandal,” Author, American Bar Association, All Rise: The ABA/YLD Litigation Committee Newsletter (Winter/Spring 2007)

“Department of Labor Clarifies Overtime Exempt Status of Registered Representatives in Securities Industry Under the Fair Labor Standards Act,” Co-Author, Ulmer & Berne LLP, Client Alert (December 2006)

“NASD Staff Permits Broker-Dealer To Use On-Demand Webcast To Satisfy Annual Compliance Meeting Requirements,” Co-Author, Ulmer & Berne LLP, Client Alert (December 2006)

"The Effective Presentation of Oral and Documentary Evidence," Co-Author, Chapter in Course Handbook, Securities Arbitration & Mediation: Mastering the Basics (December 2003)

"Relocation Raises Problems for Divorced Parents," Author, Ohio State Bar Association, Law You Can Use Series (November 2000)

"Felton v. Felton: A Case Study," Contributor, Cleveland State University Law Review (1997)

Ulmer & Berne LLP Financial Law Resource (Editor)

American Bar Association (Litigation Section; Family Law Section)

Ohio State Bar Association (Litigation Section; Family Law Committee)

Cleveland Metropolitan Bar Association (Litigation Section; Securities Section; Family Law Section; Trial Counsel, 1999-2000; Certified Grievance Committee, 2000-2003)

Guardian ad Litem for Cuyahoga County Common Pleas Court - Domestic Relations and Juvenile Divisions

Securities Industry and Financial Markets Association (Member, Compliance & Legal Division)

State of Ohio
U.S. Court of Appeals, Sixth Circuit
U.S. District Court, Northern District of Ohio
U.S. District Court, Southern District of Ohio
Others on a Pro Hac Vice basis