Litigation & Dispute Resolution
With more than 100 attorneys, Ulmer & Berne’s litigation team has a strong tradition of solving problems and delivering excellent results for a diverse group of clients. Our litigation practice is the largest in the firm and we have extensive experience handling matters in trial and appellate courts, and before alternative dispute resolution forums throughout the country.
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 Chambers USA, Super Lawyers and The Best Lawyers in America. Ulmer’s Litigation Department was named the 2022 “Ohio Firm of the Year” by Benchmark Litigation and previously earned the same designation in 2014 and 2017-2021.
In 2020, Ulmer announced the addition of renowned and industry-recognized trial boutique Kaufman & Company to its litigation practice, creating an elite Midwestern litigation group with first-chair trial expertise. To read a feature article about the combination of Ulmer and Kaufman & Company in Crain’s Cleveland Business, please click here.
Ulmer Attorneys Published in Law360 on the Single-Subject Rule
Ulmer Partners William D. Edwards, Amanda Martinsek, and Daniela Paez were published in Law360’s Access to Justice section with their article, “One Subject Rule Strategy Can Defeat Dangerous State Laws.” To read the full article, click here.
September 28, 2021
Ulmer Earns Recognition as Benchmark Litigation’s 2021 “Ohio Firm of the Year”
April 1, 2021 – Ulmer & Berne LLP established itself again as the leading litigation firm in Ohio earning Benchmark Litigation’s 2021 “Ohio Firm of the Year” award for the fifth year in a row and the sixth time in eight years. Recognized for its strong litigation practice and innovative...
April 01, 2021
Benchmark Litigation Gives Ulmer High Marks in Newest Reports
October 22, 2020 – Ulmer & Berne LLP and 11 of its partners received honors in the 2021 edition of Benchmark Litigation. Consistently recognized by clients and peers as a firm well suited to handle complex, high-stakes litigation, Ulmer has earned Benchmark’s highest possible ranking – “highly recommended” in Ohio...
October 22, 2020
OCIE Offers Reg BI Examination “Study Guides” (But Not An Extension)
From Ulmer’s Broker-Dealer Law Corner Blog By Heidi E. VonderHeide Heidi is my go-to destination for all things Reg BI. Here’s a quick, but really helpful, update from her. – Alan This week OCIE issued twin alerts relating to the upcoming implementation of Reg BI. A lot of the statements are...
April 10, 2020
If Covid-19 Wasn’t Bad Enough, Just Wait For The Arbitrations
From Ulmer’s Broker-Dealer Law Corner Blog By Alan M. Wolper Forced to sit at home under government-ordered decree, and having finished binge-watching Season 3 of Ozark and Season 4 of Money Heist on Netflix, what’s left to do except prey upon scared investors – particularly seniors – who have been watching the...
April 08, 2020
What Happens When Potential Arbitrators Don’t Answer The Phone
From Ulmer’s Broker-Dealer Law Corner Blog By Alan M. Wolper I think that most lawyers who handle arbitrations, no matter what side of the table they occupy, would agree that one of the most important components of the case – perhaps the most important – is the selection of the arbitrators who comprise the...
March 31, 2020
Ulmer Honored as Diversity Leader by Profiles in Diversity Journal
March 10, 2020 – Ulmer & Berne LLP is pleased to announce that the firm and its Chief Diversity Officer Timothy J. Downing have been honored in Profiles in Diversity Journal’s 12th annual Diversity Leader Awards issue, which recognizes organizations and individuals who are working every day to expand and improve diversity, inclusion,...
March 10, 2020
FINRA’s ODA Continues To Operate As Enforcement’s Puppeteer
From Ulmer’s Broker-Dealer Law Corner Blog By Alan M. Wolper A couple of years ago, I complained here about FINRA’s Office of Disciplinary Affairs, or ODA. I am here to report that…nothing has changed. Let me explain. I am defending a FINRA Enforcement case that is scheduled to go to hearing in a...
March 01, 2020
Emerging Issues: Ohio Domestic Privacy Profile for Bloomberg Law
Ulmer attorneys Frances Floriano Goins and Michael Davis Hoenig recently updated the Ohio Domestic Privacy Profile for “Bloomberg Law: Privacy & Data Security.” In the update, the attorneys discuss emerging issues including recent legislation like SB 194, which was passed by the Ohio Senate in December 2019 to protect Ohio...
March 03, 2020
Ulmer’s eDiscovery Capabilities Add Value in Complex Disputes
Ulmer attorneys are adept at efficiently and effectively handling eDiscovery matters for our clients, using sophisticated tools that place us at the cutting edge of this technology area. The firm uses Relativity, the premier eDiscovery platform, as part of an overall eDiscovery strategy that allows our attorneys to provide world-class...
March 02, 2020
Stephanie Harley Quoted in The Business Journal on Employee Handbooks
In the most recent edition of The Business Journal, Ulmer Partner Stephanie Harley is quoted regarding employee handbooks and best practices for employers in order to protect themselves and their employees. To read the full article, click here.
February 27, 2020
Richard Hamilton Quoted in The Hollywood Reporter on Antitrust Issues in the Entertainment Industry
With the rise of streaming services, mergers in the entertainment industry seem likely. In a recent article for The Hollywood Reporter, Ulmer Partner Richard Hamilton, Jr. is quoted discussing this possibility and how the industry has evolved in the last several years. To read the full article, click here. In...
February 20, 2020
Ulmer Attorneys Named 2020 Illinois Super Lawyers
January 29, 2020 – Five attorneys from Ulmer & Berne LLP’s Chicago office have been named to the 2020 list of Illinois Super Lawyers, which features the top attorneys in the state who are chosen for their demonstrated excellence in the practice of law. Super Lawyers Kenneth F. Berg, Securities Litigation Thomas...
January 29, 2020
Countdown Continues as SEC and FINRA Issue Additional Reg BI Guidance
From Ulmer’s Broker-Dealer Law Corner Blog By Heidi E. VonderHeide Heidi continues to stay on top of developments relating to Reg BI. – Alan Just in case you’ve not yet seen them, both the SEC and FINRA, over the last week or so, have released a series of documents that touch, partly or entirely,...
January 21, 2020
Leadership Changes Energize Ulmer’s Key Departments and Practice Groups
January 8, 2020 – Ulmer & Berne LLP is pleased to announce key leadership changes across the firm’s Business and Litigation Departments. Ulmer named Howard Groedel as Chair of the Business Department, Jeffrey S. Dunlap as Vice Chair of the Litigation Department, David D. Black as Vice Chair of the Business Department, Marie C. Kuban and Douglas K. Sesnowitz as Co-Group Leaders...
January 08, 2020
Rachael L. Rodman Published in Bloomberg Law on Reasonable Measures Under the DTSA
Ulmer Partner Rachael L. Rodman recently provided her professional perspective to Bloomberg Law in her article, “Reasonable Measures Under the DTSA.” In the article, Rodman examines the Defend Trade Secrets Act and the factors courts consider in evaluating sufficient reasonable measures to protect the secrecy of information, and also provides...
January 03, 2020
Reg BI Continues to Tantalize and Confuse Both the Industry and the Regulators
From Ulmer’s Broker-Dealer Law Corner Blog By Christopher D. Seps Between the usual holiday season madness and a recent trial, I have been a little tied up lately. Happily, Chris Seps has stepped up with this excellent piece on Reg BI. – Alan My young boys will sometimes chase me...
December 20, 2019
Litigation Boutique Kaufman & Company to Join Ulmer & Berne
Combination Bolsters First-Chair Trial Expertise and Expands Firm Footprint to New York and Washington, D.C. Ulmer & Berne LLP today announced the addition of renowned and industry-recognized trial boutique Kaufman & Company to its award-winning litigation practice, creating an elite Midwestern litigation group with first-chair trial expertise. The combination will...
December 03, 2019
Ulmer Continues to Grow Columbus Office with Addition of Ethics Counsel
Ulmer & Berne LLP is proud to announce the addition of Counsel Alvin E. Mathews, Jr., to its Columbus office. Recognized as a lawyer’s lawyer, Mathews represents major law firms, in-house counsel, and solo practitioners on a variety of ethics and professional liability matters. “We are excited to welcome Alvin to...
November 22, 2019
Ulmer Announces Election of Three New Partners
Ulmer & Berne LLP is pleased to announce the election of three partners to the firm, effective January 1, 2020. This class of new partners includes attorneys with backgrounds in diverse legal disciplines and who reflect Ulmer’s commitment to providing sophisticated advice and counsel. “We are happy to welcome Kristin,...
November 20, 2019
From Ulmer’s Broker-Dealer Law Corner Blog By Alan M. Wolper As I have mentioned before, several times, PIABA is deathly concerned with the fact that sometimes customers who prevail in arbitrations are unable to collect their awards, which typically happens when the respondent firm and/or the RR leaves the industry (thus eliminating...
November 12, 2019
FINRA’s Latest Statistical Snapshot Shows Continued Decimation Of Small BDs
From Ulmer’s Broker-Dealer Law Corner Blog By Alan M. Wolper Last year, for the first time, FINRA produced a statistical report designed to provide some perspective on the firms that comprise its membership. I blogged about it, and concluded at the time that the report basically demonstrated the following: FINRA is still mostly...
October 07, 2019
The Department of Labor Proposes to Increase the Salary Level for Overtime Exemption AGAIN
The US Department of Labor (DOL) has announced its proposal to amend its regulations regarding “white collar” exemptions (executive, administrative, and professional) to the Fair Labor Standards Act (FLSA) overtime requirements. The DOL estimates that this amendment would allow 1.3 million employees who are presently exempt to become entitled to overtime compensation....
September 25, 2019
David Leopold Authors Op-Ed on Bearing Witness at the Southern Border
Earlier this week, David Leopold published an op-ed on Medium.com titled, “Bearing Witness at the Southern Border.” In the piece, David details his recent travels to the southern border and the reality he witnessed as a result of the Trump administration’s asylum policies. To read the full op-ed on Medium.com,...
September 25, 2019
Michael Davis Hoenig Named to Cleveland Jewish News List of 18 Difference Makers
Ulmer & Berne LLP is pleased to announce that the Cleveland Jewish News has named Associate Michael Davis Hoenig to its 2019 list of “18 Difference Makers,” which honors and celebrates individuals making invaluable contributions for the betterment of Northeast Ohio’s Jewish community. The “18 Difference Makers” awards were created to recognize...
September 24, 2019
It Is Not Possible To Predict When FINRA Will Charge Something As Willful. Or Is It?
From Ulmer’s Broker-Dealer Law Corner Blog By Alan M. Wolper I have written a few times about FINRA’s ceaseless interest in bringing cases against registered reps who fail to update their Form U-4 in a timely manner to disclose the fact that a tax lien has been filed against them. Or several...
September 24, 2019
The Protein of the Future is Almost Here. But What Are We Allowed to Call It?
Meat remains a staple of the American diet. But, despite the joys of a crispy piece of bacon, traditional meat production methods have several drawbacks. Raising cattle or poultry is resource-intensive. It creates a lot of, shall we say, unpleasant waste. Consumers are increasingly concerned about the treatment and welfare...
September 09, 2019
Michael Davis Hoenig Joins Board of Anti-Defamation League Cleveland Regional Office
Ulmer & Berne LLP is pleased to share that Associate Michael Davis Hoenig has joined the Board of the Anti-Defamation League (ADL) Cleveland regional office, which serves Ohio, Kentucky, West Virginia, and Western Pennsylvania. The ADL is dedicated to fighting anti-Semitism and threats to our democracy, including cyber hate, bullying, bias in...
September 04, 2019
Two (More) Scary Tales Of FINRA’s Abuse Of Rule 8210
From Ulmer’s Broker-Dealer Law Corner Blog By Alan M. Wolper Once again – twice again, actually – FINRA has used Rule 8210 as a cudgel, beating the poor unfortunate recipients of the “request” for documents and information into submission, or worse. This has got to stop. The first case is a repeat...
September 04, 2019
Timothy J. Downing Named to The National Law Journal’s Inaugural Equality Trailblazers List
Ulmer & Berne LLP is pleased to announce that Chief Diversity Officer Timothy J. Downing has been recognized by The National Law Journal (NLJ) in its inaugural Equality Trailblazers list. This new list highlights the accomplishments of those who have made significant strides in the fight for gender and LGBTQ equality. “I...
September 03, 2019
All-Public Arbitration Panels Are Paying Out Money At An Unprecedented Rate
From Ulmer’s Broker-Dealer Law Corner Blog By Alan M. Wolper I read an article this week in Investment News with the following headline: “Brokerage Customers Winning More FINRA Arbitration Cases.” As a guy who defends customer cases, I was naturally intriguied by this. According to the article, “brokerage customers who do file...
August 19, 2019
Why Is FINRA So Interested In Your Non-Securities Business?
From Ulmer’s Broker-Dealer Law Corner Blog By Alan M. Wolper Rightly or wrongly, I don’t know much about cryptocurrencies or digital coins. But that’s ok. What is worrisome, on the other hand, is that I am increasingly concerned that FINRA doesn’t either. And while my own ignorance will have exactly zero impact...
July 25, 2019
A Glaring Example of FINRA Dragging Its Feet
From Ulmer’s Broker-Dealer Law Corner Blog By Alan M. Wolper FINRA loves to tout its supposed intent to bring meaningful cases, cases that matter to the investing public, rather than enforcing “foot faults,” as it has been accused of doing over the years. My own experience with FINRA suggests that while it...
July 03, 2019
Ulmer Partner Richard Hamilton Talks Google’s Latest Antitrust Issues on “Nightly Business Report”
Ulmer Partner Richard Hamilton was featured during the June 7 episode of “Nightly Business Report,” a national news program produced by CNBC that airs on PBS. Offering his insider perspective as a former attorney in the DOJ’s Antitrust Division, Hamilton was interviewed regarding the Justice Department’s antitrust probe of Google and...
June 10, 2019
Rachael Rodman Appointed to IPO Diversity and Inclusion Committee
Ulmer & Berne LLP is pleased to announce that Partner Rachael L. Rodman was recently appointed as a member of the Intellectual Property Owners Association (IPO) Diversity & Inclusion Committee, which is dedicated to establishing organizational focus around and executing programs based on diversity and inclusion. As one of IPO’s Management and...
June 05, 2019
Do Customers Actually Use BrokerCheck? This FINRA Complaint Suggests They Don’t
From Ulmer’s Broker-Dealer Law Corner Blog By Christopher D. Seps I heartily endorse this post from my colleague, Chris, who’s been quiet of late. It says a lot about FINRA, in terms of how it deigns to spend your assessment money, how fairness in the Enforcement process can be completely illusory, and...
May 29, 2019
FINRA Releases Regulatory Notice 19-17, Proposes to Dispense with Due Process
From Ulmer’s Broker-Dealer Law Corner Blog By Alan M. Wolper Reading Reg Notice 19-17 makes me think of the legal arguments that I’ve recently read regarding whether a president can be found guilty of obstructing justice if the actions in question were taken out in the open, for everyone to see. Here, FINRA’s proposed...
May 08, 2019
FINRA’s Proposal On High-Risk Firms Is A Must-Read, But Hardly A Must-Enjoy
From Ulmer’s Broker-Dealer Law Corner Blog By Alan M. Wolper I apologize for all the posts this week, but I am traveling and am in a different time zone, so I am awake at hours when, ordinarily, I would be asleep, giving me time to muse. Anyway, given that, I will not...
May 03, 2019
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
