Bass, Berry & Sims attorney Chris Lazarini discussed a case in which the defendant appealed his criminal conviction for wire fraud, money laundering, and securities fraud claiming the government failed to prove fraudulent...more
Bass, Berry & Sims attorney Chris Lazarini analyzed a case in which 27 Chinese individuals alleged securities fraud after investing significant funds in a failed electric vehicle startup. The court dismissed the case, finding...more
9/16/2019
/ Dismissals ,
Fiduciary Duty ,
Investment Management ,
Investors ,
Justifiable Reliance ,
Material Misrepresentation ,
Material Misstatements ,
Offering Documents ,
Securities Fraud ,
Standing ,
Startups
Bass, Berry & Sims attorney Chris Lazarini discussed a case in which the plaintiffs sued Edward Jones alleging violations of various securities laws related to their investment in an annuity, which they had thought was joint...more
5/7/2019
/ Breach of Contract ,
Breach of Duty ,
Cause of Action Accrual ,
Discovery Rule ,
Fiduciary Duty ,
Investors ,
Negligence ,
Negligent Supervision ,
Securities Act ,
Securities Fraud ,
Securities Violations ,
Statute of Limitations ,
Statute of Repose ,
Time-Barred Claims ,
Tolling
Bass, Berry & Sims attorney Chris Lazarini provided insight on a case brought by investors alleging a company violated certain securities laws by issuing a false registration statement in conjunction with its IPO. In the...more
2/6/2019
/ False Statements ,
Initial Public Offering (IPO) ,
Investors ,
Motion to Dismiss ,
Omissions ,
Pleading Standards ,
Registration Statement ,
Section 11 ,
Securities Act of 1933 ,
Securities Fraud ,
Stock Prices
Bass, Berry & Sims attorney Chris Lazarini discussed a case brought by the SEC against an individual broker accused of violations of Section 17(A) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act...more
6/22/2018
/ Admissible Evidence ,
Brokers ,
Fifth Amendment ,
Genuine Issue of Material Fact ,
Misrepresentation ,
Omissions ,
Recklessness ,
Rule 10(b) ,
Scienter ,
Section 17(a) ,
Securities Act of 1933 ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Securities Fraud ,
Securities Litigation ,
Securities Violations ,
Summary Judgment
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 commented on a case involving alleged violations of federal and state securities laws and state common law in an alleged scheme to defraud customers and investors in several...more
Bass, Berry & Sims attorney Chris Lazarini discussed a case involving the repercussions of the multi-billion dollar Ponzi scheme of Thomas Petters related to the management of the Stewardship Credit Arbitrage Fund, LLC...more
11/13/2017
/ Abuse of Discretion ,
Appeals ,
Asset Freeze ,
Creditors ,
False Statements ,
Investors ,
Loans ,
Motion to Amend ,
Ponzi Scheme ,
Securities and Exchange Commission (SEC) ,
Securities Fraud ,
Securities Litigation ,
Shareholder Distributions ,
Stipulations
Bass, Berry & Sims attorney Chris Lazarini commented on a case in which the defendant filed fraud and RICO actions in federal court against several persons and entities alleging they defrauded her out of millions of dollars....more
7/17/2017
/ Arbitration ,
Broker-Dealer ,
Dismissals ,
Financial Industry Regulatory Authority (FINRA) ,
Imminent Harm ,
Injunctive Relief ,
JPMorgan Chase ,
Merrill Lynch ,
Motion to Dismiss ,
Securities Fraud ,
Statute of Limitations ,
Subsequent Litigation ,
Waivers
Bass, Berry & Sims attorney Chris Lazarini discussed the heightened pleading standard for claims of fraud under Rule 9(b) in an auction rate securities case....more
3/15/2017
/ Bonds ,
Dismissals ,
Federal Rule 12(b)(6) ,
FRCP 9(b) ,
Interest Rate Swaps ,
Material Misrepresentation ,
Omissions ,
Purchase Agreement ,
Securities Fraud ,
Securities Litigation ,
Statute of Limitations
Bass, Berry & Sims attorney Chris Lazarini commented on a case in which a former trader fraudulently purchased $1 billion in Apple shares that ultimately forced the closure of the trader's firm, Rochdale Securities. Rochdale...more
11/15/2016
/ American Rule ,
Appeals ,
Apple ,
Arbitration ,
Arbitration Awards ,
Attorney's Fees ,
Clearing Agencies ,
Compensatory Damages ,
Consequential Damages ,
Contract Disputes ,
Counterclaims ,
Financial Industry Regulatory Authority (FINRA) ,
Manifest Disregard ,
Motion to Vacate ,
Securities Fraud ,
Stocks ,
Willful Misconduct