Bass, Berry & Sims attorney Chris Lazarini analyzed a case in which two defendants – a former employee and a company that assisted in the sale of the business – both claimed entitlement to funds held by an attorney in trust...more
Bass, Berry & Sims attorney Chris Lazarini outlined a court’s decision to uphold a permanent injunction against a broker finding the appellate rules do not allow for an appeal as a matter of right. In this case, a bank sought...more
Bass, Berry & Sims attorney Chris Lazarini provided insight on a case involving a plaintiff’s request for a temporary restraining order (TRO) against former employees who allegedly stole confidential client contact...more
10/23/2019
/ Breach of Contract ,
Client Data ,
Confidential Information ,
Confidentiality Agreements ,
Customer Information ,
Employment Contract ,
Former Employee ,
Injunctive Relief ,
Investment Adviser ,
Irreparable Harm ,
Likelihood of Success ,
Misappropriation ,
Non-Solicitation Agreements ,
Trade Secrets ,
TRO
Bass, Berry & Sims attorney Chris Lazarini analyzed the putative class active brought against T. Rowe Price Group by current and former employees alleging the firm breached its fiduciary duty by favoring its own financial...more
10/24/2018
/ 401k ,
Benefit Plan Sponsors ,
Breach of Duty ,
Employee Benefits ,
Employee Retirement Income Security Act (ERISA) ,
Fiduciary Duty ,
Financial Adviser ,
Former Employee ,
Motion to Dismiss ,
Putative Class Actions ,
Retirement Plan ,
Self-Dealing
Bass, Berry & Sims attorney Chris Lazarini examined further developments in a case involving a former UBS investment advisor’s attempt to prevent the company from collecting on promissory notes the advisor owed to UBS upon...more
10/8/2018
/ Actual Malice ,
Appeals ,
Asset Freeze ,
Asset Transfer ,
Attorney's Fees ,
Creditors ,
De Novo Standard of Review ,
Debtors ,
Financial Industry Regulatory Authority (FINRA) ,
Former Employee ,
Fraudulent Transfers ,
Insolvency ,
Investment Adviser ,
Investment Companies ,
Limited Liability Company (LLC) ,
Operating Agreements ,
Promissory Notes ,
Punitive Damages ,
Spouses ,
Summary Judgment ,
Venue ,
Void Contracts
Bass, Berry & Sims attorney Chris Lazarini analyzed a case in which a former investment advisor at UBS sought to prevent the company from collecting on promissory notes the advisor owed to UBS upon his departure. After the...more
9/4/2018
/ Appeals ,
Arbitration ,
Arbitration Awards ,
Asset Freeze ,
Attorney's Fees ,
Creditors ,
De Novo Standard of Review ,
Debtors ,
Former Employee ,
Fraud ,
Fraudulent Transfers ,
Good Faith ,
Investment Adviser ,
Investment Management ,
Motion for Summary Judgment ,
Operating Agreements ,
Promissory Notes ,
Punitive Damages ,
Transfer of Assets
Bass, Berry & Sims attorney Chris Lazarini provided insight on a case in which a former broker sought to overturn a jury verdict finding him guilty of securities fraud, obstruction of justice and wire fraud by arguing, among...more
2/26/2018
/ Abuse of Discretion ,
Appeals ,
Brokers ,
Determination on Remand ,
Evidentiary Hearings ,
False Statements ,
FBI ,
Federal Rules of Evidence ,
Financial Industry Regulatory Authority (FINRA) ,
Former Employee ,
Impeachment ,
Influencers ,
Juror ,
Obstruction of Justice ,
Prejudice ,
Reversal ,
Securities Fraud ,
Stocks ,
Wire Fraud
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 provided insight on a case in which a former commodities broker claimed her former employers retaliated against her for filing a civil rights complaint by causing her new employer to...more
11/16/2017
/ Adverse Employment Action ,
Brokers ,
Commission on Human Rights ,
Complaint Procedures ,
Employment Terms ,
Former Employee ,
Former Employer ,
Gender Discrimination ,
Gender-Based Pay Discrimination ,
Harassment ,
Hiring & Firing ,
Jury Trial ,
Motion to Dismiss ,
Protected Activity ,
Racist Remarks ,
Retaliation