Neda Ataie

Of Counsel

Neda represents clients in securities’ disputes before the Financial Regulatory Authority (“FINRA”) and other dispute forums involving major broker-dealers with trillions in assets.

Mrs. Ataie is an experienced attorney who, for the past twenty years, has represented clients in securities’ disputes before the Financial Regulatory Authority (“FINRA”) and other dispute forums involving major broker-dealers with trillions in assets consistently achieving favorable outcomes and awards. Mrs. Ataie specializes in representing parties in disputes resolved through FINRA arbitration. These disputes encompass various issues such as transitions, wrongful termination claims, promissory notes, Form U5 defamation and expungement of customer complaints and terminations.

She represents clients nationwide regarding financial advisors transitioning from one firm to another and negotiation of Form U5 language through registration and licensing issues with any state regulatory agencies. She has successfully represented registered representatives in FINRA regulatory inquiries, investigations, and disciplinary actions. She has a 99% success rate in effectively closing investigations conducted by FINRA, SEC and other regulatory bodies. She is well versed in all facets of litigation including conflict resolution of complicated legal matters, trials and appeals.