Amir is a partner in the Portland office, licensed in OR, CA, and Washington. He has represented national broker dealers, their agents, and principals in scores of FINRA and AAA arbitrations and taken over dozen or more such matters to trial. As examples, he has defended a national broker dealer in a two-week arbitration involving allegations of theft, selling away and forgery filed by a prominent NFL athlete. The award was less than an offer of judgment made well before the hearing. He has obtained full dismissals in two other FINRA matters in hearings lasting multiple weeks. He has successfully obtained “take nothing awards” in private arbitrations involving advisory firms as well. In addition to his broker dealer practice, he has defended multiple broker dealers and advisors in wide ranging SEC matters involving conflicts of interest, fraud, REG BI, and cyber security matters. Recent such matters include high profile investigation of a NY based hedge fund in which he and Wendy Thomas represented a hedge fund and its principal in a significant SEC enforcement matter alleging fraud and publicly disclosed findings of a internal investigation handled by another law firm. Amir also has handled multiple legal malpractice matters. He represented a prominent Seattle civil rights litigator in a case alleging mishandling of settlement communications; an Oregon firm concerning claims of aiding and abetting securities fraud and worked with Julie Engbloom defending a large Oregon firm against allegations relating to taxation counseling. Finally, Amir has recently handled several partnership divorces in both Oregon and Washington..

Representative Cases

  • 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.