Aidikoff, Uhl & Bakhtiari

Philip M. Aidikoff

Mr. Aidikoff is a past President and Director Emeritus of the Public Investors Arbitration Bar Association (PIABA). He served a five-year term (with three years as chair) of the National Arbitration and Mediation Committee of FINRA (formerly the NASD) which provides recommendations on rules, regulations and procedures governing arbitrations, mediations and dispute resolution. He is currently one of three public members of the Securities Industry Conference on Arbitration (“SICA”), which was created with the support of the Securities and Exchange Commission to help protect the interests of public investors in securities arbitration

Mr. Aidikoff was recognized as a 2005, 2006, 2007, 2008 and 2009 Southern California Super Lawyer.

Mr. Aidikoff has served on the faculty of the Practicing Law Institute (1996, 1997, 2002), NASD Fall Securities Conference (2002, 2004, 2005, 2006), NASAA Enforcement Conference (2002, 2004), NASAA Attorney/Investigator Training Conference (2006), University of Cincinnati School of Law Symposium-Twenty Years after Shearson v. McMahon (2007), SCMA Conference (2005), NERA Securities Litigation Seminar (2004), New York City Bar Securities Arbitration program (2002), Los Angeles County Bar Association Securities Arbitration program (2006), the NASD faculty for training of discovery arbitrators and on the JAMS faculty for training of securities arbitrators. He has appeared on CNBC, CNN/fn, PBS Nightly Business Report, National Public Radio, CBS Radio, and the Business Channel addressing investor rights topics, and has been quoted on securities matters in the Wall Street Journal, the Dow Jones News Service, Newsweek, Reuters, Fortune Magazine, Business Week, Money Magazine, Bloomberg News Service, Forbes, Medical Economics, Registered Representative, The New York Times, USA Today, The Los Angeles Times, The Washington Post and other national and local press. For five years he wrote a weekly column in the Palm Springs Desert Sun on issues of interest to investors.

Mr. Aidikoff received his B.A. degree from University of California at Berkeley, 1969, Dean's List. He received his J.D. degree from Southwestern University School of Law, 1975, Law Review.

Mr. Aidikoff was admitted to the California State Bar - 1975, United States District Court Central District California - 1976, United States Supreme Court - 1981, United States Court of Appeals for the Fifth Circuit - 1999

Publications:

• Wall Street Does it Again: The Auction Rate Securities Fraud
  Public Investors Arbitration Bar Association (2008)
• Trying Asset/Mortgage Backed Securities Cases: A Practical Guide
  Public Investors Arbitration Bar Association (2007)
• A Practical Guide To The New NASD Code of Arbitration Procedure For Customer Disputes
  Practicing Law Institute Securities Arbitration Handbook (2006), also Public Investors Arbitration Bar Association (2006)
• Third Party Money Managers: Brokerage Firms' Duty to Monitor and Resulting Liability
  Practicing Law Institute Securities Arbitration Handbook (2005)
• I Didn't Say That, Oh Yes You Did: The Use of Court Reporters in Securities Arbitration
  Public Investors Arbitration Bar Association (2005)
• From Wall Street to Main Street: A Guide To Litigation Over Hedge Funds Sold by Brokerage Firms to Retail Investors
  Public Investors Arbitration Bar Association (2005)
• Confidentiality and Compliance Manuals: The Fight for Unfettered Access
  Practicing Law Institute Securities Arbitration Handbook (2005), also Public Investors Arbitration Bar Association (2004)
• Due Diligence or Don't: Pre-Filing Considerations and Claim Drafting
  Public Investors Arbitration Bar Association (2003)
• Comments on The Claimant's Bar On Proposed Changes In The Expungement Process
  The Association of the Bar of the City of New York (2002)
• Arbitration: Can It Be Waived?
  Practicing Law Institute Securities Arbitration Handbook (2002)
• 2001: An Update On Best Execution and Suitability Standards For Online Trading
  Public Investors Arbitration Bar Association (2001)
• After the Correction: Are Your Losses Recoverable?
  American Pathology Foundation (2001)
• Selective Recission and the Offset Defense in Securities Cases: A Survey of the Law
  Public Investors Arbitration Bar Association (2000)
• Motion Practice in Securities Arbitration: A Claimant's Point of View
  Public Investors Arbitration Bar Association (1999)
• Why Shouldn't Clearing Firms be Liable
  Public Investors Arbitration Bar Association (1998)
• Clearing Firm Liability: A Forward Looking Analysis
  Practicing Law Institute Securities Arbitration Handbook (1998)
• Liability of Control Persons at Second Tier Firms
  Public Investors Arbitration Bar Association (1997)
• Control Person Liability in the Securities Industry: A Legal Overview and Practical Applications
  Practicing Law Institute Securities Arbitration Handbook (1997)
• Recognizing and Guarding Against Fiduciary Abuse
  National Guardianship Association National Convention (1996)
• Stockbrokerage Firm Liability: A Pre-Litigation Analysis
  Consumer Attorneys Association of Los Angeles “Advocate” (1996), reprinted in the Arizona Trial Lawyer Association “Advocate” (January 1997)
• The Brave New World of Banks Selling Securities: Offline and Online
  Practicing Law Institute Securities Arbitration Handbook (1996)
• Recognizing and Evaluating Stockbroker Liability
  Consumer Attorneys Association of Los Angeles Convention (1995)
• Take it or Leave it: Case Evaluation and Retention
  Practicing Law Institute Securities Arbitration Handbook (1995)
• Broker Abuse: Recovering for your Client
  Los Angeles Trial Lawyers Advocate (1993)

Robert A. Uhl

Robert A. Uhl sits as an NASD arbitrator and is a member of the Public Investors Arbitration Bar Association (PIABA). Mr. Uhl has appeared on Fox News and has been quoted on securities matters by the Wall Street Journal, Registered Representative magazine, CBS Marketwatch and by other members of the national and local press.

Mr. Uhl was recognized as a 2005, 2006, 2007, 2008 and 2009 Southern California Super Lawyer.

Mr. Uhl received his B.A. degree from the University of Pittsburgh, 1968, Dean's List. He received his J.D. degree from Fordham University School of Law, 1975, Dean's List and Law Review.

Mr. Uhl was admitted to the New York Bar - 1976, United States District Court Southern District New York - 1976, United States District Court Eastern District New York - 1976, California State Bar - 1977, United States District Court Northern District California - 1977, United States District Court Central District California - 1979, United States Court of Appeals for the Ninth Circuit - 1982, United States Court of Appeals for the Seventh Circuit - 1983.

Publications:

• Wall Street Does it Again: The Auction Rate Securities Fraud
  Public Investors Arbitration Bar Association (2008)
• Trying Asset/Mortgage Backed Securities Cases: A Practical Guide
  Public Investors Arbitration Bar Association (2007)
• A Practical Guide To The New NASD Code of Arbitration Procedure For Customer Disputes
  Practicing Law Institute Securities Arbitration Handbook (2006), also Public Investors Arbitration Bar Association (2006)
• Third Party Money Managers: Brokerage Firms' Duty to Monitor and Resulting Liability
  Practicing Law Institute Securities Arbitration Handbook (2005)
• I Didn't Say That, Oh Yes You Did: The Use of Court Reporters in Securities Arbitration
  Public Investors Arbitration Bar Association (2005)
• From Wall Street to Main Street: A Guide To Litigation Over Hedge Funds Sold by Brokerage Firms to Retail Investors
  Public Investors Arbitration Bar Association (2005)
• Confidentiality and Compliance Manuals: The Fight for Unfettered Access
  Practicing Law Institute Securities Arbitration Handbook (2005), also Public Investors Arbitration Bar Association (2004)
• Due Diligence or Don't: Pre-Filing Considerations and Claim Drafting
  Public Investors Arbitration Bar Association (2003)
• Arbitration: Can It Be Waived?
  Practicing Law Institute Securities Arbitration Handbook (2002)
• Advanced Discovery Techniques: Piercing the Veil of Confidentiality and The Use of Telephone Records to Prove Unauthorized Trading
  Public Investors Arbitration Bar Association (2001)
• Selective Recission and the Offset Defense in Securities Cases: A Survey of the Law
  Public Investors Arbitration Bar Association (2000)
• Motion Practice in Securities Arbitration: A Claimant's Point of View
  Public Investors Arbitration Bar Association (1999)
• Why Shouldn't Clearing Firms be Liable
  Public Investors Arbitration Bar Association (1998)
• Clearing Firm Liability: A Forward Looking Analysis
  Practicing Law Institute Securities Arbitration Handbook (1998)
• Liability of Control Persons at Second Tier Firms
  Public Investors Arbitration Bar Association (1997)
• Control Person Liability in the Securities Industry: A Legal Overview and Practical Applications
  Practicing Law Institute Securities Arbitration Handbook (1997)
• Stockbrokerage Firm Liability: A Pre-Litigation Analysis
  Consumer Attorneys Association of Los Angeles "Advocate" (1996), reprinted in the Arizona Trial Lawyer Association "Advocate" (January 1997)
• The Brave New World of Banks Selling Securities: Offline and Online
  Practicing Law Institute Securities Arbitration Handbook (1996)
• Recognizing and Evaluating Stockbroker Liability
  Consumer Attorneys Association of Los Angeles Convention (1995)
• Take it or Leave it: Case Evaluation and Retention
  Practicing Law Institute Securities Arbitration Handbook (1995)
• Broker Abuse: Recovering for your Client
  Los Angeles Trial Lawyers Advocate (1993)

Ryan K. Bakhtiari

Ryan K. Bakhtiari represents clients in securities disputes before FINRA (NASD, NYSE), state and federal courts. He presently serves on the Board of Directors of the Public Investors Arbitration Bar Association.

Mr. Bakhtiari is a past member of the board of editors, managing editor of the PIABA Bar Journal and edited the “Recent Arbitration Awards” column covering significant NASD and NYSE arbitration awards. Mr. Bakhtiari has spoken at the Public Investors Arbitration Bar Association annual meeting, California mid-year meeting, authored and co-authored several articles. He was a teaching assistant and extern to the Honorable James N. Barr, United States Bankruptcy Judge for the Central District of California and presently serves as a FINRA securities arbitrator.

In addressing investors' rights issues, Mr. Bakhtiari has been quoted by the press in publications that include the New York Times, Wall Street Journal, Bloomberg, Los Angeles Times, Reuters, Dow Jones Business News, NY Post, Los Angeles Business Journal, The American Banker and Cleveland Plains Dealer.

Mr. Bakhtiari was recognized in 2005, 2006, 2007 and 2008 as a Southern California Super Lawyer Rising Star. He has litigated the following cases which resulted in published opinions:

• Coutee v. Barington Capital Group, LP, 336 F.3d 1128 (9th Cir. 2003)
  Confirmation of arbitration award of punitive damages and attorneys fees.
• Goodman v. CIBC Oppenheimer & Co., 131 F. Supp. 2d 1180 (C.D. Cal. 2001)
  Federal Arbitration Act does not provide an independent basis for federal subject matter jurisdiction.

Mr. Bakhtiari received his B.A. degree from University of California Los Angeles in 1995 and his J.D. degree from Southwestern University School of Law, 1998. Bakhtiari was Lead Articles editor for Journal of Law and Trade in the Americas.

Mr. Bakhtiari was admitted to the California State Bar - 1998, United States District Court Central District California - 1998, District of Columbia - 1999, United States Court of Appeals for the Fifth Circuit - 1999, United States District Court Northern District California - 2000, United States Court of Appeals for the Ninth Circuit - 2000, Texas State Bar - 2004, New York State Bar - 2005.

Publications:

• From Wall Street to Main Street: A Guide To Litigation Over Hedge Funds Sold by Brokerage Firms to Retail Investors
  Public Investors Arbitration Bar Association (2005)
• Supervising Retail Customer Accounts
  Public Investors Arbitration Bar Association (2005)
• Practice Pointers For Trying the Variable Annuity Case
  Public Investors Arbitration Bar Association (2004)
• Governing Law Clauses in Customer Agreements
  Public Investors Bar Association (2003)
• Arbitration: Can It Be Waived?
  Practicing Law Institute Securities Arbitration Handbook (2002)
• 2001: An Update On Best Execution and Suitability Standards For Online Trading
  Public Investors Arbitration Bar Association (2001)
• Selective Recission and the Offset Defense in Securities Cases: A Survey of the Law
  Public Investors Arbitration Bar Association (2000)
• Motion Practice in Securities Arbitration: A Claimant's Point of View
  Public Investors Arbitration Bar Association (1999)
• Why Shouldn't Clearing Firms be Liable
  Public Investors Arbitration Bar Association (1998)
• Clearing Firm Liability: A Forward Looking Analysis
  Practicing Law Institute Securities Arbitration Handbook (1998)
• Liability of Control Persons at Second Tier Firms
  Public Investors Arbitration Bar Association (1997)
• Control Person Liability in the Securities Industry: A Legal Overview and Practical Applications
  Practicing Law Institute Securities Arbitration Handbook (1997)