Brian P. Nally

Expungement of customer dispute awarded in favor of investment advisor/broker in FINRA arbitration hearing.

Following a three-year investigation, culminating with a March 2023 notice of intent to revoke his client's insurance licensure, Joe Simms participated in an evidentiary hearing in March 2024 in front of the Ohio Department of Insurance. The investigation arose in connection with a nationwide Ponzi scheme that spanned seven years and impacted more than 15,000 individuals, causing several hundred million dollars of losses, and resulting in criminal convictions of a half dozen (non-client) people, including decades of prison time and over a half billion dollars (with a "B") in fines. Joe received notice that the hearing officer agreed that revocation or suspension was not an appropriate sanction for his client, and imposed a fine of just $2,000.

After taking over a business dispute for prior counsel, we represented an international freight forwarding company that was involved in transporting goods from the Los Angeles Port to various locations across the country. After a dispute arose between our business-client and its client, this lawsuit was filed, which involved claims by our client for breach of its contract and non-payment, as well as numerous counterclaims alleging approximately $500,000 in damages. We successfully obtained a judgment in favor of the client for more than $200,000 and assisted in obtaining a complete dismissal of all counterclaims.

Motion to dismiss granted in favor of trust company and portfolio manager involving claims of insider trading issues, trading in thinly traded securities, and other Trust & securities issues.

Represented a well-known Cleveland law firm and lawyer in a legal malpractice case and obtained dismissal of all claims against the firm and the attorney.

Summary judgment granted in favor of large financial institution/trust company and portfolio manager in a securities/trust dispute. 

Defense of breach of contract and fraud claims.

Obtained a defense verdict in favor of individual business owner and two businesses who were being pursued for breach of contract, breach of fiduciary duty, fraud, among other claims, by Plaintiffs who were seeking nearly $2.0 million in damages. 

Obtained a dismissal of a lawsuit filed against financial advisor/insurance agent and financial services company for alleged breach of fiduciary duty, fraud, and breach of contract.

Brian Nally and Steven Chang recently obtained dismissal of a lawsuit pending in the U.S. District Court for the Southern District Court of Ohio, arising out of allegations that a financial advisor made various improper recommendations to a client. Reminger successfully obtained dismissal from the U.S. District Court, arguing that the Plaintiff failed to state a claim under various securities/criminal statutes and arguing that the claims were time-barred. After an appeal to the United States Court of Appeals for the 6th Circuit, the dismissal in favor of Reminger’s client was affirmed in all respects.

Plaintiff filed a lawsuit against our investment professional client, asserting various claims arising out of the recommendation of an annuity. We successfully argued the claims were time-barred, and further argued that the Plaintiff failed to state a claim under various securities/criminal statutes. The District Court agreed and dismissed all claims against our client. Additionally, the District Court deemed the Plaintiff a vexatious litigator under Federal law, and enjoined the Plaintiff from filing any new actions unless he sought permission from the Court in advance.

Plaintiffs filed a lawsuit against our safety compliance consultant client, alleging intentional spoliation of evidence in connection with a workplace injury and workers’ compensation claim. We successfully argued that the consultant acted properly under applicable Iowa law and that Iowa does not recognize a claim for intentional spoliation, and obtained complete dismissal of all claims through a motion to dismiss.

Plaintiff filed a lawsuit against our insurance and financial services client, alleging misrepresentation of policy coverage related to a motorcycle. We successfully argued that our client acted properly under applicable Iowa law, and obtained complete dismissal of all claims through the granting of our motion for summary judgment.

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.

FINRA arbitration of broker/dealer financial services liability claim

Vaughn v. Radio One of Indiana, L.P. Court granted summary judgment in our favor on all claims.

Defense of title company E&O claim

Defense of financial services professional liability claim

Defense of financial services error & omission claim

Defense of alleged
HUD housing violations and mortgage fraud

Defense of architectural errors and omission claim

Daniel Gallagher v. Stonegate Mortgage Corp., et al.

Plaintiff appealed adverse trial courts dismissal of complaint against financial institution defendants asserting claims of defamation and deceptive trade practices.

Defense of disciplinary action by Certified Financial Planning Board

FINRA arbitration defense of financial services professional liability claim

Stonegate Mortgage Corp. v. Gallagher

Obtained dismissal of all claims in a commercial dispute.

Successfully obtained dismissal of appeal filed by employee seeking reversal of Unemployment Compensation Review Commission’s denial of unemployment benefits.

Claims of negligence/breach of fiduciary duty for alleged mishandling of a UTMA account.

Obtained dismissal of all claims in representation of a FINRA registered representative in a FINRA arbitration proceeding.

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

Partial granting of Motion to Dismiss in connection with the defense of a broker-dealer in a FINRA arbitration proceeding

Obtained a finding of 'No Probably Cause' and dismissal of an Ohio Civil Rights Commission investigation of an employment discrimination charge.