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Lori H. Patterson

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Lori Patterson, chair of the Financial Services Litigation & Compliance Group, represents broker-dealers, registered investment advisers, financial institutions, and public companies in securities litigation and arbitration, regulatory matters, and SEC and FINRA investigations and actions.

Featured Experience


Successfully defended broker-dealer and registered representatives in FINRA arbitration in case involving the sale of alternative real estate investments.

Successfully defended broker-dealer in FINRA arbitration in case involving the sale of non-traded REITs.

Successfully defended registered investment adviser in state court action in case arising out of recommendations to purchase CDO products. Summary judgement affirmed on appeal.

Professional Biography


These matters include customer initiated arbitrations and litigation; enforcement proceedings and investigations by the SEC, FINRA and state securities regulators; and intra-industry disputes such as "raiding" claims, claims related to non-competition agreements, the theft of trade secrets and injunctive proceedings. Specifically Ms. Patterson has extensive experience in defending claims and regulatory actions related to private placements, complex products, and fixed income securities.

Prior to joining Baker Donelson, Ms. Patterson held a clerkship with The Honorable John C. Godbold, United States Court of Appeals for the Eleventh Circuit from 1997 to 1998. Ms. Patterson works from our Memphis office.

  • Securities Litigation and Defense of Broker-Dealers and Registered Investment Advisers

  • Successfully defended broker-dealer and registered representatives in FINRA arbitration in case involving the sale of alternative real estate investments.

  • Successfully defended broker-dealer in FINRA arbitration in case involving the sale of non-traded REITs.

  • Successfully defended registered investment adviser in state court action in case arising out of recommendations to purchase CDO products. Summary judgement affirmed on appeal.

  • Defended broker-dealer in a class action concerning due diligence performed as lead underwriter on municipal bond offering. Obtained dismissal of case on the pleadings.

  • Defended broker-dealer in SEC investigation involving L Shares. Received clearance letter from Enforcement Staff.

  • Defended broker-dealer in a federal court action alleging violations of federal and state securities laws, aiding and abetting breach of fiduciary duties, and commercial bribery in the wake of the bankruptcy of a registered investment adviser.

  • Defended broker-dealer and bank dealer in civil litigation and in securities arbitrations arising out of sale of CDO products.

  • Defended municipal advisors in SEC investigations arising out of municipal bond offerings.

  • Defended broker-dealer in SEC investigation into municipal bond offering. No action taken.

  • Frequent representation of broker-dealers and investment advisers in connection with regulatory cycle and for cause examinations.

  • Represented numerous broker-dealers and registered investment advisers in litigation and in arbitrations involving claims of unsuitability, unauthorized trading, misrepresentation, churning, failure to supervise and breach of fiduciary duty.

  • Frequent defense of broker-dealers and registered investment advisors in SEC enforcement actions.
  • Frequent defense of broker-dealers and their registered representatives in FINRA enforcement actions.
  • Successfully brought suit against former employees who attempted to raid clients and/or usurp corporate opportunities.
  • Listed in The Best Lawyers in America® in Commercial Litigation (2015 – 2022); Municipal Litigation (2018 – 2022); Securities Regulation (2020 – 2022); Arbitration (2021, 2022)
  • Named the Best Lawyers' 2022 Memphis Arbitration "Lawyer of the Year"
  • Named the Best Lawyers' 2021 Memphis Securities Regulation "Lawyer of the Year"
  • Listed in Mid-South Super Lawyers in Securities Litigation (2012 – 2021)
  • Listed in Mid-South Rising Stars (2011)
  • Founder – Memphis Chapter of the Homeless Experience Legal Protection (HELP) Clinic, legal clinic servicing homeless individuals
  • Board Member – Community Alliance for the Homeless
  • Member – Tennessee, Alabama and American Bar Associations
  • Past Member – Leo Bearman, Sr. Inn of Court
  • Adjunct Professor – Legal Research and Writing, University of Memphis School of Law (2001 – 2002)
  • "SEC/FINRA Guidance Signals that Broker-Dealers Must Strengthen Branch Exam Processes" (December 2011)

Education

  • Cumberland School of Law, Samford University, J.D., 1997, summa cum laude
    • Articles Editor – Cumberland Law Review, 1996 – 1997
    • Cordell Hull Research and Writing Teaching Fellowship, 1997
  • University of the South, B.S., 1993

Admissions

  • Tennessee, 1999
  • Alabama, 1997

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