Our Attorneys

Amir Tadjedin

Amir Tadjedin

Partner / Portland

Bar Admissions

California, 1996
Oregon, 2005
Washington, 2014
U.S. District Court, Oregon
U.S. District Court, California

Education

Catholic University, J.D.
Washington University, B.A. Political Science and English

Amir is a partner in our Portland office. His practice is focused on litigating and arbitrating commercial disputes in a wide variety of professional liability matters.

Amir has substantial experience in securities and investment related matters. He has defended broker-dealers, registered representatives, investment advisors, insurance agents and agencies, issuers, and other professionals in state and federal courts, as well as FINRA arbitrations.  He has represented national broker-dealers and Respondent firms in over a dozen states.  He currently represents several national broker-dealers in significant matters, including conversion, selling away, theft, and product failure cases. He has recently represented several broker-dealers in multi-claimant multi-product complex arbitrations involving selling away, suitability, negligence, rogue broker and product failure cases. In the last several years, he has been lead trial counsel in several arbitrations lasting from one to two weeks involving these issues.  All such arbitrations have resulted in either no award, or an award of less than what was offered prior to hearing.

Amir maintains an active regulatory practice representing firms and representatives in investigations initiated by FINRA, the SEC, and state regulatory agencies. He has handled regulatory investigations concerning a variety of alleged conduct, including conflicts of interest, suitability, unauthorized trading, fraud, excessive markups, and failure to conduct adequate due diligence. He has also been preemptively retained by firms who anticipate such investigations are likely to occur and assists companies in conducting internal investigations in advance of regulatory investigations, or prior to submitting formal responses or disclosures to regulatory agencies. Amir regularly lectures on developments concerning the securities industry and has provided risk management seminars to several broker-dealer firms as part of their annual compliance and sales conferences.

Amir has also been retained on a variety of professional liability claims and represents or has represented law firms, third party administrators, accountants, custodians, and other professionals in lawsuits or regulatory matters in Washington, Oregon, and California.  For example, Amir and his California colleagues have represented: a law firm in a $3 million claim for alleged malpractice stemming from an underlying construction defect claim; an account administrator in an action stemming from a cyber breach; a federal bankruptcy trustee alleged to have acted outside his administrative duties; and a large real estate developer sued under Oregon’s securities statutes.

 


Representative Cases

  • Lead trial defense counsel in arbitration against advisory firm alleging breach of fiduciary duty and improper management of assets. Claims dismissed after one-week arbitration despite significant settlement offer prior to hearing.
  • Lead trial defense counsel in arbitration stemming from sale of investments offered by DBSI, a TIC issuer based in Idaho.  All claims dismissed after week long arbitration.
  • Lead trial defense counsel in two-week arbitration relating to allegations of unsuitability, fraud, forged account records and selling away.  Award was less than offer of judgment.
  • Primary counsel in dozens of regulatory or enforcement matters initiated by FINRA, SEC or state regulatory authorities against broker-dealers, advisory firms, and registered representatives.
  • In Re ____: Represented advisory firm in SEC enforcement action relating to soft dollar arrangements.
  • In Re ____: Co-represented advisory firm in SEC enforcement matter relating to undisclosed conflicts of interest.
  • Represented a national broker dealer in FINRA matter involving alleged officer misconduct and conducted internal investigation of broker dealer’s apex officers regarding same conduct.  Matter closed with no further action.
  • Sunwest Litigation:  Represented Colorado broker-dealer in Sunwest receivership action alleging violation of Oregon Securities laws related to sale of Sunwest properties by our client.
  • Griphon Asset Management:  Represented regional broker-dealer in arbitrations and related FINRA investigation related to sale of private placements issued by Griphon Asset Management.
  • Lead trial counsel for advisory firm in two-week arbitration alleging gross mismanagement of advisory accounts. All claims dismissed and Claimants took nothing by way of damages despite significant settlement offer prior to hearing.
  • Represented advisory firm in claims asserting cyber breach.
  • Represented a group of securities brokers sued by former firm for violation of employment agreements.  All claims resolved following the grant of summary judgment motions in California and Arizona federal courts.
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