Christine Lazaro

St. John's University - School of Law

Professor of Clinical Legal Education

8000 Utopia Parkway

Jamaica, NY 11439

United States

  • St. John's University - School of Law

SCHOLARLY PAPERS

23

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Scholarly Papers (23)

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1.

The Fragmented Regulation of Investment Advice: A Call for Harmonization

Michigan Business and Entrepreneurial Law Review, Vol. 4, No. 1, 2015, St. John's Legal Studies Research Paper No. 15-0009
Number of pages: 49 Posted: 08 Feb 2015 Last Revised: 27 Jun 2019
Christine Lazaro and Benjamin Edwards
St. John's University - School of Law and University of Nevada, William S. Boyd School of Law
Downloads 220 (214,552)

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Securities, Investment Advice, Insurance, Annuities, Fiduciary Duty

2.

Eligibility and Statutes of Limitations in Arbitration

New York City Bar Program Materials for “Securities Arbitration & Mediation Hot Topics 2018, St. John's Legal Studies Research Paper No. 18-0012
Number of pages: 12 Posted: 22 May 2018
Christine Lazaro and Michael Edmiston
St. John's University - School of Law and Jonathan W. Evans & Associates
Downloads 168 (272,924)

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3.

The Regulation of Digital Investment Advice

St. John's Legal Studies Research Paper No. 19-0001
Number of pages: 13 Posted: 06 Nov 2019
Christine Lazaro
St. John's University - School of Law
Downloads 130 (335,459)

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4.

Financial Abuse of the Elderly

PIABA 21st Annual Meeting Materials, St. John's Legal Studies Research Paper No. 15-0038
Number of pages: 12 Posted: 14 Jul 2015 Last Revised: 26 Jun 2019
Christine Lazaro
St. John's University - School of Law
Downloads 129 (337,444)

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Financial abuse, elder abuse, FINRA, brokers, SEC, investments

5.

Suitability Obligations Applicable to Securities and Annuities

Practicing Law Institute Securities Arbitration, 2015, St. John's Legal Studies Research Paper No. 15-0037
Number of pages: 19 Posted: 12 Jul 2015 Last Revised: 05 Oct 2017
Christine Lazaro and Benjamin Edwards
St. John's University - School of Law and University of Nevada, William S. Boyd School of Law
Downloads 126 (343,342)

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Suitability, Annuities, Equity-Indexed Annuities, Brokers, Securities

6.

Financial Exploitation of the Elderly: An Overview of Regulatory Action

PIABA Mid-Year Meeting Materials (2018), St. John's Legal Studies Research Paper No. 18-0013
Number of pages: 10 Posted: 08 Jun 2018
Christine Lazaro
St. John's University - School of Law
Downloads 114 (369,126)

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7.

Business Development Companies-The Basics

St. John's Legal Studies Research Paper No. 21-0017
Number of pages: 12 Posted: 22 Jun 2021 Last Revised: 13 Apr 2022
Christine Lazaro
St. John's University - School of Law
Downloads 91 (429,687)

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FINRA, SEC, securities regulation, investment advice, fiduciary duty

8.

Has Expungement Broken Brokercheck?

Journal of Business & Securities Law, Vol. 14, No. 2, 2014, St. John's Legal Studies Research Paper No.15-0008
Number of pages: 26 Posted: 12 Jul 2015 Last Revised: 26 Jun 2019
Christine Lazaro
St. John's University - School of Law
Downloads 90 (432,533)
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Broker, expungement, FINRA

9.

Supervision and Compliance of Brokerage Firms

Downloads 82 (457,534)

Supervision and Compliance of Brokerage Firms

24 No. 3 PIABA B.J. 435 (2017), St. John's Legal Studies Research Paper No. 18-0009
Number of pages: 34 Posted: 15 May 2018
Christine Lazaro
St. John's University - School of Law
Downloads 65 (527,452)

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Supervision and Compliance of Brokerage Firms

St. John's Legal Studies Research Paper No. 18-0006, PIABA 24th Annual Meeting Materials (2015)
Number of pages: 17 Posted: 15 May 2018
Christine Lazaro
St. John's University - School of Law
Downloads 17 (833,509)

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10.

Special Considerations in Simplified Arbitration Cases

New York State Bar Association Program Materials, "Securities Arbitration and Mediation," 2014, St. John's Legal Studies Research Paper No. 15-0031
Number of pages: 11 Posted: 12 Jul 2015 Last Revised: 22 Sep 2015
Christine Lazaro and Brent Burns
St. John's University - School of Law and Law Offices of Brent A. Burns, LLC
Downloads 78 (471,102)

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FINRA, arbitration, simplified arbitration

11.

The Future of Financial Advice: Eliminating the False Distinction between Brokers and Investment Advisers

St. John's Law Review , Vol. 87, No. 2, 2013, St. John's Legal Studies Research Paper No. 15-0040
Number of pages: 36 Posted: 12 Jul 2015 Last Revised: 26 Jun 2019
Christine Lazaro
St. John's University - School of Law
Downloads 75 (481,838)

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Broker, Investment Adviser, Fiduciary Duty, investment advice, FINRA, SEC

12.

Fiduciary Duties and Securities Brokers: A Need For a Uniform Standard

St. John's Legal Studies Research Paper No. 19-0034
Number of pages: 8 Posted: 20 Aug 2019
Christine Lazaro and Michael R. Fabrizio
St. John's University - School of Law and St. John's University - School of Law
Downloads 61 (536,757)

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13.

The Obligations and Regulatory Challenges of Online Broker-Dealers and Trading Platforms

Number of pages: 42 Posted: 29 Jun 2022
Christine Lazaro and Teresa Jacqueline Verges
St. John's University - School of Law and University of Miami - School of Law
Downloads 57 (554,371)

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Securities Regulation; Broker-Dealer Regulation; Online trading; Gamification

14.

Defining 'Fiduciary': Differences in Fiduciary Standards within the Securities Industry

St. John's Legal Studies Research Paper No. 18-0005, PIABA 26TH Annual Meeting (2017)
Number of pages: 22 Posted: 15 May 2018
Christine Lazaro
St. John's University - School of Law
Downloads 54 (568,332)

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15.

Regulatory Updates: FINRA and SEC Rule Changes and Guidance of Interest

24 No. 1 PIABA B.J. 109 (2017), PIABA 26TH Annual Meeting (2017), St. John's Legal Studies Research Paper No. 18-0007
Number of pages: 15 Posted: 15 May 2018
Christine Lazaro
St. John's University - School of Law
Downloads 49 (592,837)

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16.

Technology in Legal Practice: Keeping Ethical Obligations in Mind

PLI Current, The Journal of PLI Press, Vol. 3, No. 3, Summer 2019
Number of pages: 30 Posted: 25 Jun 2020
Teresa Jacqueline Verges and Christine Lazaro
University of Miami - School of Law and St. John's University - School of Law
Downloads 46 (608,489)

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securities arbitration, ethical obligations, technology, professional responsibility, social media, hacking, phishing, cloud computing, duty of confidentiality, technological competence

17.

Ethical Concerns When Settlement Includes an Agreement About Expungement

PIABA 22nd Annual Meeting Materials, 2013, St. John's Legal Studies Research Paper No. 15-0039
Number of pages: 11 Posted: 12 Jul 2015 Last Revised: 26 Jun 2019
Christine Lazaro
St. John's University - School of Law
Downloads 40 (641,863)

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Broker, Expungement, FINRA

18.

An Overview of the Regulation Best Interest Rule Package

St. John's Legal Studies Research Paper No. 19-0038
Number of pages: 24 Posted: 15 Jun 2021
Christine Lazaro
St. John's University - School of Law
Downloads 38 (653,603)

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FINRA, SEC, securities regulation, investment advice, fiduciary duty

19.

An Overview of Brokercheck and the Central Registration Depository

Number of pages: 26 Posted: 29 Jun 2022
Christine Lazaro and Albert Copeland
St. John's University - School of Law and St. John’s University - School of Law
Downloads 34 (678,571)

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Securities Arbitration; Securities Regulation; Brokerage Firm Disclosures

20.

Supervision and Compliance of Brokerage Firms: Focus on Conflicts of Interest

St. John's Legal Studies Research Paper No. 18-0008, PIABA 25th Annual Meeting (2016)
Number of pages: 10 Posted: 25 May 2018
Christine Lazaro
St. John's University - School of Law
Downloads 34 (678,571)

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21.

Major Investor Losses Due to Conflicted Advice: Brokerage Industry Advertising Creates the Illusion of a Fiduciary Duty

Public Investors Arbitration Bar Association Report, Vol. 22, No. 1, 2015, St. John's Legal Studies Research Paper No. 17-0012
Number of pages: 22 Posted: 08 Dec 2017 Last Revised: 10 Dec 2017
Christine Lazaro and Joseph C. Peiffer
St. John's University - School of Law and St. John's University
Downloads 33 (685,089)

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22.

Telephonic Mediations of Small Claims

Number of pages: 6 Posted: 29 Jun 2022
Christine Lazaro and Scott EIchhorn
St. John's University - School of Law and University of Miami, School of Law
Downloads 16 (814,189)

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Securities Arbitration, Mediation, Dispute Resolution

23.

Discovery Guidance for Product Cases

St. John's Legal Studies Research Paper No. 19-0031, July 2019
Number of pages: 6 Posted: 26 Jul 2019
Christine Lazaro
St. John's University - School of Law
Downloads 14 (832,030)

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