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Punitive Damages Financial Industry Regulatory Authority (FINRA)

Bass, Berry & Sims PLC

Chris Lazarini Provides Insight on Appointment of Receiver

Bass, Berry & Sims PLC on

Bass, Berry & Sims attorney Chris Lazarini provided additional insight 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...more

Bass, Berry & Sims PLC

Chris Lazarini Further Examines Case Involving Advisor’s Effort to Avoid Paying a Promissory Note

Bass, Berry & Sims PLC on

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

Burr & Forman

FINRA Panel Precludes Evidence & Awards Punitives as Discovery Sanction

Burr & Forman on

An all-public panel of FINRA arbitrators entered a preclusion order and awarded $750,000 in punitive damages for Respondents’ failure to participate in discovery and disregard of pre-hearing filing requirements....more

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