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Robert A. Uhl (retired 2013)

Mr. Uhl sat as an NASD arbitrator and was 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 the author, co-author or editor of numerous articles on securities arbitration.

Mr. Uhl was recognized as a 2005, 2006, 2007, 2008, 2009, 2010, 2011, 2012 and 2013 Southern California Super Lawyer.

In 2010, Mr. Uhl was appointed as the first Director of the Pepperdine University School of Law Investor Clinic which received a grant from the Financial Industry Regulatory Authority (FINRA) to establish the clinic. In addition, Mr. Uhl was an adjunct professor at the Pepperdine University School of Law where he taught a course on securities arbitration. He was also a member of the Council of Distinguished Advisors of the Straus Institute of Pepperdine University School of Law.

Mr. Uhl retired from the full time practice of law in July 2013.

Education

Bar Admissions

 

Publications

Market Adjusted Damages in the FINRA Forum
PIABA Bar Journal, Volume 21, No. 2 (2014)
The Pepperdine Model: Learn First-Then Practice
Cardozo Journal of Conflict Resolution (2014)
FINRA Six-Year Eligibility Rule 12206: The Purchase Date is Often Not the Triggering “Occurrence or Event Giving Rise to a Claim.”
Public Investors Arbitration Bar Association (2013)
Discoverability of Wells Submissions: What They Are And How To Get Them
Public Investors Arbitration Bar Association (2012)
Discovery of Regulatory Documents: Debunking the Myth of the “SEC” Privilege in Securities Arbitration
Public Investors Arbitration Bar Association (2011)
Arbitrators Misclassified: Looking Back to Move Forward
Public Investors Arbitration Bar Association (2011)
The Prospectus Defense: Defeating It As A Matter of Fact and Law
Public Investors Arbitration Bar Association (2009)
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)