Bass, Berry & Sims attorney Chris Lazarini discussed a case in which the defendants moved to compel arbitration and for a stay pending arbitration following allegations that the defendant violated duties to an investment plan...more
Bass, Berry & Sims attorney Chris Lazarini examined a broker/dealer’s effort to prevent a FINRA arbitration case involving representatives selling away activities from going forward. The plaintiff, Centaurus Financial, sought...more
10/8/2019
/ Arbitration ,
Arbitration Agreements ,
Broker-Dealer ,
Declaratory Judgments ,
Declaratory Relief ,
Dismissals ,
Financial Industry Regulatory Authority (FINRA) ,
FRCP 12(b)(3) ,
Improper Venue ,
Injunctive Relief ,
Sua Sponte
Bass, Berry & Sims attorney Chris Lazarini examined a case in which the plaintiff filed a FINRA arbitration against his broker alleging suitability, breach of fiduciary duty, fraud, failure to supervise, and other claims. The...more
8/16/2018
/ Arbitration ,
Arbitration Agreements ,
Breach of Duty ,
Brokers ,
Cause of Action Accrual ,
Federal Arbitration Act ,
Fiduciary Duty ,
Financial Industry Regulatory Authority (FINRA) ,
Fraud ,
Individual Retirement Account (IRA) ,
Motion to Compel ,
Motion To Stay
Bass, Berry & Sims attorney Chris Lazarini discussed the class action case brought by former advisers of Credit Suisse Securities (USA) who sought recovery of their unvested deferred compensation following the closure of...more
Bass, Berry & Sims attorney Chris Lazarini commented on a case in which the plaintiff sued UBS for mismanagement of his deceased mother's estate. The plaintiff challenged the validity of the arbitration agreement arguing that...more
6/27/2018
/ Arbitration ,
Arbitration Agreements ,
Equitable Estoppel ,
Estate Claims ,
Mismanagement ,
Motion to Compel ,
Non-Signatories ,
Pre-Dispute Arbitration ,
Securities Exchange Act ,
Third-Party Beneficiaries ,
Uniform Commercial Code (UCC) ,
Validity
Bass, Berry & Sims attorney Chris Lazarini analyzed a court's decision finding an arbitration agreement is valid and enforceable even when located in an employee handbook containing a general disclaimer that the handbook is...more
Bass, Berry & Sims attorney Chris Lazarini examined a case in which a plaintiff filed a breach of fiduciary duty claim in federal court and opposed defendants' efforts to move the claims to arbitration. The plaintiff claimed...more
Bass, Berry & Sims attorney Chris Lazarini discussed a case involving a Plaintiff's suit against a broker-dealer involving his deceased mother's IRA account. Although Plaintiff was a non-signatory to the IRA account...more
Bass, Berry & Sims attorney Chris Lazarini provided insight on factors a court should consider when determining whether a party has waived a contractual right to arbitration. The factors, which are tied to potential prejudice...more
Bass, Berry & Sims attorney Chris Lazarini provided insight on a case in which a widow and one-time named beneficiary of her husband's IRA account acquired the account assets after her husband's death, although she was not...more
Bass, Berry & Sims attorney Chris Lazarini continues to examine an ongoing case questioning the validity of an arbitration agreement. Read Chris' earlier analysis here. In this most recent installment challenging the...more
Bass, Berry & Sims Chris Lazarini analyzed a case outlining when a party is entitled to have a jury decide issues related to the making or enforceability of an arbitration agreement. ...more
11/22/2016
/ Arbitration Agreements ,
Contract of Adhesion ,
Discovery ,
Federal Arbitration Act ,
Federal Rules of Civil Procedure ,
Filing Deadlines ,
FRCP 38 ,
Individual Retirement Account (IRA) ,
Jury Trial ,
Mediation ,
MetLife ,
Misappropriation ,
Motion to Compel ,
Right to a Jury