U.S. District Court, Oregon
U.S. District Court, California
Catholic University, JD
Washington University, BA, Political Science and English
Amir Tadjedin is one of TT & E's founding partners and practices out of 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 in 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 occurring 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 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 real estate developer sued under Oregon’s securities statutes.
Represented national broker-dealer in resolving over 40 arbitrations involving over 50 claimants. Worked with an insurance carrier and 13 opposing counsel in "bet-the-company" situation. Over several months of negotiations, preparation of financial analyses, and multi-day mediation, resolved nearly all matters, which enabled Firm’s clients to survive onslaught of litigation arising from sale of alternative investments.
Teamed up with co-founding partner Julie Engbloom to successfully resolve three-year SEC investigation and enforcement matter for broker-dealer concerning alleged failures to safeguard customer records and private financial data. Investigation implicated data breaches implicating 4,900 customers alleged violations of Reg SP, and Sections 206(4) of the Adviser’s Act.
Represented Portland firm in a lawsuit alleging securities fraud under Oregon securities law. Matter was resolved on favorable terms for client.
Represented Mid-West broker-dealer in class action in Oregon state court alleging violations of Oregon securities law.
Conducted internal investigation for national broker-dealer relating to potential violative conduct of apex officers in relation to illicit conduct of registered representatives. Though brokers faced punitive regulatory consequences, was able to minimize the exposure to company, made internal recommendations, cooperated with regulators, and company ultimately faced no regulatory consequences stemming from the underlying conduct.
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 alternative investments. All claims dismissed after lengthy arbitration.
Lead trial defense counsel for national broker dealer in two-week arbitration relating to allegations of unsuitability, fraud, forged account records, and selling away involving broker barred from industry. 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 national broker-dealer in enforcement matter involving alleged officer misconduct and conducted internal investigation of broker-dealer’s apex officers regarding same conduct. Matter closed with no further action.
Represented national broker-dealer in multi-week arbitration involving complex options trading in advisory accounts. All claims dismissed after one-week hearing with award of no damages.
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 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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