Christopher G. Lazarini
Chris Lazarini, co-chair of the firm’s Broker-Dealer and Financial Products Practice Group, joined Bass, Berry & Sims in 2007. Prior to joining the firm, Chris was a founding partner of Tate Lazarini Brady & Davis, PLC in Memphis. For more than 20 years, Chris has focused his practice on the representation of broker-dealers, financial institutions and investment advisers and their registered representatives and agents. A significant amount of Chris’ practice is devoted to representing independent contractor firms and their representatives in matters such as defending customer complaints and arbitration claims, responding to regulatory inquiries and charges and handling internal investigations and employee relations. Chris also counsels clients and individuals in matters relating to recruitment of registered representatives. Chris has appeared before arbitration panels and courts throughout the country, has lectured at national and local conferences at the request of clients, and has served as an adjunct professor at the University of Memphis Cecil C. Humphreys School of Law.
In April 2013, Chris was selected by the Financial Services Institute (FSI) to serve on its FINRA Arbitration Task Force. The Task Force was comprised of experienced attorneys and broker-dealer executives and compliance officers who identified areas of concern with FINRA’s arbitration process and proposed improvements and solutions to FINRA. From October 2014 through August 2020, Chris served as Senior Contributing Editor of the Securities Online Litigation Alert (SOLA), contributing weekly content analyzing case law related to the broker-dealer industry.
Memberships
Memphis Bar Association
Tennessee Bar Association
American Bar Association
Representative Experience
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Represented four outside directors in a lawsuit brought by the FDIC against the officers and directors of Community Bank of Arizona (the Bank) and in a declaratory judgment action by the Bank’s D&O carrier
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Represented Morgan Keegan in obtaining dismissal of customer claims against the firm in a FINRA arbitration, then successfully argued before the Tennessee Court of Appeals to have the zero award reinstated after it had been vacated by the local Chancery Court
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Represented Morgan Keegan in defense of more than 300 customer-initiated arbitrations in the wake of the failure of a family of mutual funds
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Represented Duncan-Williams, Inc. in a raiding case against Coastal Securities, Inc., in which our client alleged that Coastal and former Duncan-Williams employees conspired to misappropriate, copy and delete documents in a raid of the Duncan-Williams public finance department
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Successful representation of Securities Service Network and one of its investment advisory representatives in obtaining dismissal of customer claims against the firm, first in a FINRA arbitration and then in a state court action
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Successful representation of Securities Service Network, Inc., and its principal officer in an arbitration that was brought outside of the NASD’s (now FINRA’s) six year eligibility period
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Successful representation of Century Securities in a FINRA arbitration involving claims of unsuitably risky and inappropriate investment recommendations to the former trustee of a trust account
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Successful representation of Al Frank Asset Management and its Chief Investment Officer in an AAA arbitration involving claims of breach of fiduciary duty and improper use of margin
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Successful representation of Banc of America Investment Services, Inc., and one of its agents in obtaining dismissal of customer claims relating to an allegedly unsuitable variable annuity purchase
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Successful representation of Whitney Securities, Inc., in obtaining dismissal of claims that a customer’s account was unsuitable concentrated in technology funds
Publications
Past Events
Media Mentions & Firm News
Accolades
The Best Lawyers in America© — Litigation: Securities; Arbitration (2008-2023)
Financial Services Institute — FINRA Arbitration Task Force
Securities Online Litigation Alert (SOLA) — Senior Contributing Editor (2014-2020)
Tennessee Bar Foundation — Fellow
Memphis Bar Association — Fellow
Memphis Leadership Academy — Leadership Development Intensive (2007)
Martindale-Hubbell — AV Preeminent® Peer Review Rated