Litigation & Dispute Resolution
The litigation practice is recognized among the country’s most prestigious by, amongst others, Chambers USA and U.S. News & World Report’s Best Lawyers‘ “Best Law Firms.” A number of our lawyers have been named “Lawyer of the Year” by Best Lawyers and many are routinely recognized by Martindale-Hubbell, Super Lawyers and The Best Lawyers in America. Ulmer’s Litigation Department was recently named the 2019 “Ohio Firm of the Year” by Benchmark Litigation and previously earned the same designation in 2014, 2017, and 2018.
FINRA Says, Proof? We Don’t Need Your Stinkin’ Proof
From Ulmer’s Broker-Dealer Law Corner Blog By Alan M. Wolper If you are a regular reader of this blog, then you know that over my last few posts, I have been talking about an increasingly visible effort by FINRA to turn its regulatory eye from rogue brokers – who have been an...
March 29, 2019
FINRA Is Going After “High-Risk” Firms, But First Has To Invent The Definition Of High-Risk
From Ulmer’s Broker-Dealer Law Corner Blog By Alan M. Wolper I told you two weeks ago in my blog post that this would happen. I told you that when Robert Cook announced the topics to be taken up at the February/March FINRA Board meeting in Boca Raton, he slipped and used the new phrase...
March 14, 2019
Does FINRA Have Jurisdiction Over Me?
From Ulmer’s Broker-Dealer Law Corner Blog By Michael A. Gross Does FINRA have jurisdiction over me? This is a question that I regularly field at the outset of regulatory engagements. My answer differs depending on a number of factors, including the nature of a person’s role and duties at a firm, his...
February 12, 2019
Alan Wolper Interviewed by PLANADVISER on FINRA 2019 Priorities List
Ulmer Partner Alan M. Wolper was recently interviewed by PLANADVISER in an article entitled, “B/D Attorney: Don’t Be Distracted by FINRA Examination Priorities Letter.” Wolper provided his insights into the recently published FINRA 2019 priorities list, which he thinks is interesting, but ultimately not all that informative when it comes...
February 08, 2019
FINRA’s 2019 Examination Priorities Letter: Beware, More Of The Same Is Coming
From Ulmer’s Broker-Dealer Law Corner Blog By Alan M. Wolper In what has become an annual, but hardly exciting – I mean, it’s not like anxiously awaiting the day that pitchers and catchers report to Spring Training – tradition, with the turning of the calendar to the new year, FINRA has...
January 28, 2019
From Ulmer’s Broker-Dealer Law Corner Blog By Alan M. Wolper About a year ago, the SEC offered investment advisors the unique opportunity to report themselves to the SEC if they sold mutual funds to their clients that offered a lower priced share class than the class actually selected by the advisor,...
January 30, 2019
Yes, You Can Form A Broker-Dealer Without Running Afoul Of FINRA’s Outside Business Activities Rule
From Ulmer’s Broker-Dealer Law Corner Blog By Michael A. Gross It is not a wise career move for a registered rep to leave his broker-dealer – thereby abandoning his customers, and affording competitors the opportunity to make his customers their own – and then to begin the long, expensive, and uncertain process...
January 21, 2019
The Disturbingly Cozy Relationship Between FINRA and PIABA
From Ulmer’s Broker-Dealer Law Corner Blog By Alan M. Wolper What exists at the point where PIABA’s transparent self-interest in getting paid and FINRA’s historical lack of transparency about who is actually driving its agenda regarding arbitrations? This: a late December decision by FINRA to propose a rule that prohibits non-lawyers from...
January 09, 2019
The Real Lesson From FINRA’s 2018 Exam Findings Report
From Ulmer’s Broker-Dealer Law Corner Blog By Alan M. Wolper On Friday last week, FINRA released a report discussing the findings from its 2018 exams, providing what it described as “selected observations” that were deemed to have “potential significance.” Even with that tepid introduction, in theory, this is still a great idea, since anyone...
December 12, 2018
Ulmer Counsel Yvette R. Simpson to Lead National Progressive Group Democracy for America
Ulmer & Berne LLP is proud to announce that Counsel Yvette R. Simpson has been appointed as the incoming chief executive of the national grassroots progressive group Democracy for America (DFA). She will be the first female chief executive and first woman of color to hold an executive leadership role...
November 14, 2018
The Rule 8210 Karma Train Runs FINRA Over
From Ulmer’s Broker-Dealer Law Corner Blog By Alan M. Wolper If you’ve read this blog for even a short while, you know my feelings on Rule 8210, or, more specifically, how FINRA uses that rule, i.e., as a cudgel to keep member firms and their associated persons in line. Endless 8210 requests...
November 12, 2018
Money Talks, And FINRA Is Listening
From Ulmer’s Broker-Dealer Law Corner Blog By Alan M. Wolper Last year I wrote about FINRA’s effort to encourage firms to self-report their problems, pausing to wonder at the suggestion attributed to Jessica Hopper, a Senior Vice President with Enforcement, that cooperating with FINRA by self-reporting “not only fulfills a firm’s regulatory responsibilities, but...
November 07, 2018
Ulmer Attorney Daniela Paez Named to Crain’s Forty Under 40 Class
Ulmer & Berne LLP is proud to announce that Associate Daniela Paez has been selected to the 2018 class of Forty Under 40 by Crain’s Cleveland Business. The individuals named in this elite group are considered the next generation of rising stars who have taken a leading role in the greater Cleveland...
October 25, 2018
All’s Fair When It Comes To Arbitrator Ranking
From Ulmer’s Broker-Dealer Law Corner Blog By Alan M. Wolper I just read an article about a research study conducted of FINRA arbitrations by three people associated with Harvard, Stanford, and the University of Texas, respectively, and their overarching conclusion is a doozy. Now, admittedly, I have not read the study itself...
October 30, 2018
Ulmer eDiscovery Attorney Becomes Relativity Certified Administrator
Ulmer is pleased to announce that eDiscovery Attorney J. Matthew Linehan has completed the requirements to become a Relativity Certified Administrator (RCA) on version 9.6 of the Relativity eDiscovery software. The RCA program ensures that case administrators fully understand Relativity’s capabilities, which allows them to maximize the software’s flexibility and provide an...
October 17, 2018
Ulmer’s Litigation Department and Partners Honored by Benchmark Litigation
Partners recognized as top national and state litigators Ulmer & Berne LLP is proud to announce that the firm’s Litigation Department and nine of its partners have been recognized in the 2019 edition of Benchmark Litigation. As a testament to the Litigation Department’s depth of experience and breadth of industry expertise,...
October 15, 2018
Tips For Staying Off The SEC’s Naughty List In 2019
From Ulmer’s Broker-Dealer Law Corner Blog By Blaine F. Doyle I recently had to the opportunity to sit in on a talk from high ranking CFTC and SEC enforcement officials at a local bar association meeting. The purpose of the get together was, in part, to let industry folks and their lawyers...
October 01, 2018
Ulmer Associate Emily S. Prem Named 2018 YWCA Rising Star
Ulmer Associate Emily S. Prem has been selected by the YWCA of Greater Cincinnati as a 2018 YWCA Rising Star. The Rising Star Award is given each year to a carefully selected group of women who have the qualities of outstanding performers, proven leadership skills, and the potential to attain marked achievement...
September 27, 2018
Ulmer Partner Joseph P. Thomas to Receive 2018 Chase Alumni Association Lifetime Achievement Award
Ulmer & Berne LLP is proud to announce that Partner Joseph P. Thomas will receive the Lifetime Achievement Award for 2018 from the Chase Alumni Association of the Salmon P. Chase College of Law at Northern Kentucky University. “Joe has an incredible ability to defend our clients in matters that are complex...
September 27, 2018
David Leopold Quoted in Law360
“Kavanaugh’s Prosecutorial Discretion View A Moving Target” Law360 August 8, 2018
August 08, 2018
FINRA’s Attempt To Change Well-Established Federal Law On Churning
From Ulmer’s Broker-Dealer Law Corner Blog By Michael A. Gross When Michael called me to tell me about the subject of this post, I frankly thought he was making it up. The notion that FINRA was seriously suggesting deleting one of the historically recognized essential elements of a churning claim —...
May 14, 2018
FINRA’s Revolving Door: Much Ado About Nothing
From Ulmer’s Broker-Dealer Law Corner Blog By Michael A. Gross As loyal readers are undoubtedly already aware, I used to work for NASD, and Michael Gross more recently came to Ulmer from FINRA. That hardly means we win every FINRA Enforcement case we are engaged to defend. To suggest that because we...
April 23, 2018
FINRA’s Stated Paradigm Shift On Enforcement Actions
From Ulmer’s Broker-Dealer Law Corner Blog By Michael A. Gross I have spoken about FINRA possibly putting an end to the policy of pursuing cases where formal disciplinary action serves little to no regulatory purpose. That welcome paradigm shift may be upon us. This year, FINRA, in essence, pronounced that its “broken...
April 03, 2018
Ulmer & Berne Named 2018 “Ohio Litigation Firm of the Year” by Benchmark Litigation
Firm Receives Distinction for Second Consecutive Year and Third Time in Past Five Years Ulmer & Berne LLP has been named “Ohio Litigation Firm of the Year” by Benchmark Litigation for the second consecutive year, and the third time in the last five years. Ulmer was awarded the 2018 honor...
March 08, 2018
A Sordid Story From the Trenches of FINRA Arbitration
From Ulmer’s Broker-Dealer Law Corner Blog By Alan M. Wolper I have used this forum before on occasion to complain about the vagaries of the FINRA arbitration process, and, in particular, the perspective of a respondent’s counsel that the game often seems to be rigged in favor of claimants. Let me give...
February 02, 2018
USCIS Resumes Accepting DACA Renewals
Due to a federal court order, U.S. Citizenship and Immigration Services (USCIS) has resumed accepting requests to renew a grant of deferred action under DACA. Who can apply to renew DACA? Individuals who were previously granted deferred action under DACA may request renewal by filing Form I-821D, Form I-765, and...
January 02, 2018
Help! FINRA Is Calling My Customers
Here is a really interesting post from Michael Gross regarding those potentially uncomfortable moments when FINRA calls non-complaining customers. Because FINRA is not the government, it has no subpoena power over these people, and so needs them to cooperate voluntarily. The problem is that FINRA does an awful job of...
January 22, 2018
FINRA Examiners Are Like A Box Of Chocolates . . .
From Ulmer’s Broker-Dealer Law Corner Blog By Michael A. Gross Michael discusses the differences in examiners — and, potentially — examination results from District Office to District Office. Remember, however, that such differences aren’t supposed to exist! That’s why the Office of Disciplinary Affairs exists. I suppose the question is whether...
December 05, 2017
Seven Ulmer & Berne Attorneys Recognized as Benchmark Litigation Stars
Ulmer & Berne is proud to announce that seven of its partners have been recognized in the 2018 edition of Benchmark Litigation as State Litigation Stars, a designation awarded to those individuals who were consistently recommended by clients and peers as the top litigators in their state. The following Ulmer...
November 07, 2017
Best Lawyers® 2018: 56 Ulmer Attorneys Recognized, Four Partners Named “Lawyer of the Year”
56 attorneys from Ulmer & Berne LLP were selected by their peers for inclusion in The Best Lawyers in America© 2018. Four partners – Frances Floriano Goins, Richard G. Hardy, Scott P. Kadish, and Jeffrey F. Peck – were recognized as a 2018 “Lawyer of the Year” by Best Lawyers....
August 15, 2017
Benchmark Litigation Recognizes Three Ulmer Attorneys Among Elite in Latest Rankings
Ulmer & Berne LLP partner Frances Floriano Goins was named to the Benchmark Top 250 Women in Litigation. Ulmer partners Paul R. Harris and Joshua A. Klarfeld were included in Benchmark’s Under 40 Hot List 2017. Individual recognition for Goins, Harris, and Klarfeld comes on the heels of Ulmer’s department-wide...
August 03, 2017
Ulmer & Berne Earns High Marks in Chambers USA’s 2017 Rankings
Chambers USA: America’s Leading Lawyers for Businesses recognized Ulmer & Berne LLP for the 15th consecutive year as a leading law firm. The guide is the culmination of thousands of in-depth interviews, carried out by the largest research team of its kind. Chambers recognizes nine of the firm’s partners and counsel, including...
May 30, 2017
Ulmer & Berne Named to BTI Brand Elite 2017
Press Release BTI Consulting Group identifies Ulmer & Berne LLP as a firm that is recommended first to peers and colleagues without prompting in its newly released BTI Brand Elite 2017: Client Perceptions of the Best-Branded Law Firms. BTI’s research also found that corporate counsel name Ulmer as a firm...
March 22, 2017
Ulmer & Berne Named “Ohio Firm of the Year” by Benchmark Litigation
Press Release Ulmer & Berne LLP was named the 2017 “Ohio Firm of the Year” by Benchmark Litigation at the annual Benchmark Litigation U.S. Awards in New York City. Winners were chosen based on research conducted for the 2016 edition of Benchmark Litigation, which included interviews with peers and clients....
February 17, 2017
Ulmer’s Robin D. Miller Recognized as a Client Service All-Star
Cincinnati-based partner Robin D. Miller has been named by corporate counsel to the BTI Client Service All-Stars 2017 published by BTI Consulting Group. The honor extends to a select group of elite attorneys who are identified as providing the absolute best in client service. According to BTI, Client Service All-Stars...
February 07, 2017
Ulmer Attorneys Presenting at ARMA International Chapter Meeting
Christine Watchorn and Robin Miller will be presenting at the Greater Columbus Chapter meeting of ARMA International on January 19, 2017. The attorneys will be discussing the newly amended federal rules of civil procedure and key takeaways all attorneys should know. ARMA International Greater Columbus Chapter Meeting January 19, 2017...
January 18, 2017
Ulmer Promotes Five to Partner, One to Counsel
Press Release Ulmer & Berne LLP is pleased to announce the promotions of five of its attorneys to partner. They include Daniel Gottesman, Richard Hamilton, Jr., Jesse Lipcius, Brad Sobolewski, and Ulmer’s General Counsel, Kenneth Zirm. In addition, Ulmer also elevated associate Evelyn Holmer to counsel. Lipcius is based in...
January 05, 2017
Seven Ulmer & Berne Attorneys Recognized as Benchmark Litigation Stars
Press Release October 20, 2016 Seven of Ulmer’s partners have been recognized in the 2017 edition of Benchmark Litigation as “State Litigation Stars,” a designation given to those individuals who were recommended consistently as reputable and effective litigators by clients and peers. The following Ulmer & Berne attorneys were selected in...
October 20, 2016
Ungar Receives 2016 ORT America Jurisprudence Award
Ulmer & Berne congratulates Michael N. Ungar, partner and litigation department chair, on receiving ORT America’s Jurisprudence Award for 2016. Mr. Ungar was honored alongside fellow Jurisprudence Award recipient Jonathan B. Leiken, Diebold’s Senior Vice President and Chief Legal Officer, at ORT America’s annual ceremony. Founded in 1880 in St. Petersburg, ORT...
June 16, 2016
Ulmer & Berne Attorneys Mentioned in Coverage of Alcohol Content Litigation
“Anheuser-Busch Win in Alcohol Content Suit Affirmed,” Law360 March 22, 2016 “Anheuser-Busch Freed from Watered-Down Beer MDL,” Law360 June 2, 2016
June 02, 2016
Michael Ungar Featured in Cleveland Jewish News
“Michael Ungar | Ulmer & Berne: Jewish Roots Help Lead The Way For This ‘Super’ Attorney” Cleveland Jewish News January 15, 2016 The principles Michael Nathan Ungar learned as a young Jewish boy prepared him for his career as an award-winning lawyer. Read full article »
January 15, 2016
Ulmer & Berne is ranked in 39 categories in the 2016 U.S. News – Best Lawyers® “Best Law Firms” rankings. Among these, the firm earns U.S. News – Best Lawyers highest rankings in 21 categories. The firm also ranks nationally in 16 categories. Firms included in the 2016 “Best Law...
November 02, 2015
Ulmer & Berne’s Frances Floriano Goins Receives Distinguished Honors
Ulmer & Berne announces that partner Frances Floriano Goins was selected for inclusion in the 2015 Top 250 Women in Litigation, distributed by Benchmark Litigation, and also has been named a Fellow in The Trial Lawyer Honorary Society of The Litigation Counsel of America. Benchmark’s Top 250 Women in Litigation...
August 17, 2015
New Leadership Energizes Ulmer & Berne’s Nationally Recognized Business Litigation Department
[View Video] Tapping its pipeline of trial-tested litigators, Ulmer & Berne is announcing that three accomplished partners will lead the firm’s respected Business Litigation Practice Group. Cleveland-based partners Jeffrey S. Dunlap and Paul R. Harris will serve as Co-Chairs alongside Cincinnati-based partner Robin D. Miller, who will act as Vice...
August 13, 2015
BTI Consulting Group Ranks Ulmer & Berne a “Litigation Powerhouse”
Ulmer & Berne LLP has been ranked within the top 10 percent of all law firms by The BTI Consulting Group, one of the nation’s leading legal industry research firms, in their recently published 2015 BTI Litigation Outlook report. The firm was selected as a “Litigation Powerhouse” and is named...
October 23, 2014
