CLE Agenda
- Understanding the framework of the Financial Services Industry
- Warning signs of investment misconduct
- Discussion of unique legal process to recover investment losses
- Pursuing investment claims in securities arbitration
- Beginning the arbitration process
- Simplified arbitrations for smaller claims (less than $50,000)
- Expedited proceedings for seniors or seriously ill parties
- Selection of arbitrators
- Discovery
- Hearing
- Arbitration Awards
- The problem of unpaid judgements
- Standards of care
- Disclosures
- Fiduciary duty
- Regulation best interest
- How to spot rogue broker tricks that can impact your clients
- Theft through electronic transfer and what you can do about it
- Red flags in investment accounts
- Evaluating Claims of Investment Misconduct
- Who is a prospective defendant?
- Defendant’s viability
- Documents to review
- Insurance considerations
- Registered representative v. investment adviser
- Impact to dispute resolution forum and standards of care
- Unlicensed and unregistered individuals
- The limits of SIPC
- Cryptocurrency fraud and account hacks
- Where to File
- Court
- American Arbitration Association
- JAMS
- FINRA
Speakers:
David P Meyer, Principal, Meyer Wilson Werning, Columbus, Ohio
David Meyer is a nationally-recognized financial fraud attorney and the founder of Meyer Wilson Werning, a premier law firm devoted to securities arbitration and litigation and class action cases. With over 25 years’ of experience, David has successfully represented clients in state and federal courts, as well as arbitration forums, achieving remarkable results for individuals and groups worldwide.
David gained national prominence by securing a record-breaking $261 million jury verdict against Prudential Securities on behalf of 200 retirees—an accomplishment he achieved at just 32 years old. After seven years of litigation and appeals, every class member recovered 100% of their losses and attorneys’ fees. Since then, David and his firm have recovered more than $350 million for over 1,500 investors globally, earning the trust of clients in their pursuit of justice against financial wrongdoing.
David’s leadership in the legal community nationwide is evident through his election to lead three prestigious plaintiff bar associations, including serving as President of the Public Investors Advocate Bar Association (PIABA) and the Ohio Association for Justice (OAJ). These high profile roles highlight his reputation as a top trial attorney, a trusted advocate for investor rights and his dedication to strengthening the legal profession.
An accomplished author, David wrote the Amazon #1 Best-Seller, The Investor Protector: Stories of Triumph Over Financial Advisors Who Lie, Cheat, and Steal, sharing his insights and strategies to help individual investors safeguard their assets. The book has been widely praised, and David has been featured on numerous podcasts and platforms to discuss his work and expertise.
David’s exceptional legal skills have been consistently recognized by his peers. He has been named “Lawyer of the Year” in his practice area once again by Best Lawyers® for 2025 and has been included in Best Lawyers and Super Lawyers every year since 2011. Meyer Wilson Werning has also again earned Tier 1 “Best Law Firm” status by U.S. News & World Report for 2025.
In addition to his law practice, David is a sought-after speaker, frequently presenting at national and regional legal seminars on securities arbitration, financial fraud, and effective law firm management.
Courtney M. Werning, Principal, Meyer Wilson Werning, Columbus, Ohio
Courtney Werning’s legal career is a testament to her unwavering commitment to justice and her clients. She has dedicated herself to the representation of investors who find themselves in complex disputes with financial professionals, investment advisers, and brokerage firms. With a strong track record of success, Courtney’s practice encompasses litigation in state and appellate courts, as well as various alternative dispute resolution forums.
Courtney excels at aggressively preparing from day one to take a case to trial, which strengthens the chance for a successful outcome for her clients. Courtney’s recent civil cases and arbitrations have involved allegations related to unsuitable investment strategies, fraud and misrepresentation, Ponzi schemes, legal malpractice, elder financial abuse, securities act claims, and securities class actions.
Colleagues and clients alike recognize Courtney as a perfectionist who spares no effort in delivering the highest quality work. Her relentless attention to detail is exemplified by her determination to leave no stone unturned. It is not uncommon to find her in her office, surrounded by a sea of documents and emails, meticulously crafting a timeline of events to build her cases. If there is a single piece of evidence that can benefit her clients, rest assured, Courtney will unearth it.
What sets Courtney apart is her genuine care for her clients and the profound impact of her work on their lives. A poignant reminder of this commitment hangs proudly on her office wall—a note from a former client that reads, “Going forward, when I think of you, I will remember you as the ‘good guys’ who gave me my life back.” This simple yet heartfelt message serves as a constant source of motivation, driving Courtney to tirelessly champion her clients’ rights and seek the justice they deserve.
In the complex world of investment disputes, Courtney Werning stands as a beacon of dedication and unwavering commitment to her clients’ well-being. With her at their side, investors facing adversity can be assured of a fierce advocate who will stop at nothing to secure a brighter future.
1.5 CLE Hours