Lori H. Patterson represents broker-dealers, registered investment advisers, financial institutions, and public companies in securities litigation and arbitration, regulatory matters, and SEC and SRO investigations and actions.
These matters include customer initiated arbitrations and litigation; enforcement proceedings and investigations by the SEC, self-regulatory organizations 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, alternative investments and Immigrant Investor Program (EB-5) offerings.
In addition to her securities related work, Ms. Patterson also has broad experience in governmental entity defense. She regularly handles litigation involving state and federal constitutional claims against governmental entities, as well as claims involving government contractors and the white collar criminal defense of government officials or claims of official misconduct.
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.
- Cumberland School of Law, Samford University, J.D., 1997, summa cum laude
- University of the South, B.S., 1993
- Tennessee, 1999
- Alabama, 1997
- Securities Litigation and Defense of Broker-Dealers and Registered Investment Advisers
- Defended broker-dealer in SEC investigation involving L Shares. Received clearance letter from Enforcement Staff.
- Defended broker-dealer in civil litigation and in securities arbitrations arising out of sale of CDO products.
- Defending municipal advisor in ongoing SEC investigation.
- Defend broker-dealer in SEC investigation into municipal bond offering. No action taken.
- Defended broker-dealer in FINRA arbitration related to sale of CDO products.
- Defended public company and officers in SEC Enforcement Action. Received settlement with no monetary penalty.
- Frequent defense of broker-dealers and registered investment advisors in SEC enforcement actions.
- Municipal/Governmental Defense/Election Law
- Successfully represented local governmental entity through trial related to one of the largest school system consolidations in the country.
- Represented individuals challenging dual majority election requirements under the United States Constitution and the Voting Rights Act.
- Successfully represented municipality on Voting Rights Act claims.
- Successfully represented municipality on zoning matters, including claims alleging violations of due process and equal protection.
- Successfully represented candidate in bringing suit to have his name placed on the ballot over objections of election commission.
- White Collar Criminal Matters
- Defended elected official accused of bribery and official misconduct.
- Successfully defended local public officials in investigations and criminal actions concerning official misconduct.
- Successfully defended government contractor against mail fraud and conspiracy charges in connection with Medicare contracts with the State of Tennessee and federal government. Indictment and charges were dismissed for represented defendant.
- Assisted government contractors with government investigations and grand jury proceedings.
- Defended employee accused of embezzlement from employer, obtaining pre-trial diversion on client’s behalf.
Professional Honors & Activities:
- 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)
Rate : $$$$