General Biography

Phillip Neiman, Esq., FCIArb, AIGP, CIPP/US, CIPP/E, CIPM is a mediator and arbitrator, specializing in the resolution of complex business and commercial disputes.  He devotes much of his practice to securities and investment-related cases, including shareholder, partnership and M&A disputes, and has substantial experience in a range of other areas, including employment, insurance, IP, real property, professional liability and privacy tort cases, as well as fintech, cryptocurrency and cannabis sector disputes.

Prior to establishing his ADR practice, Mr. Neiman spent a decade as CEO and General Counsel of a FINRA-registered broker-dealer. As an investment banker, he specialized in raising growth capital for technology companies through institutional private placements.

Mr. Neiman holds a B.A. in Economics with high honors from Swarthmore College, a J.D. from the University of California, Los Angeles School of Law and is a Fellow of the Chartered Institute of Arbitrators. He holds AIGP, CIPP/US, CIPP/E and CIPM certifications from the International Association of Privacy Professionals (IAPP).

Professional Memberships, Associations

  • California Bar Association

  • Chartered Institute of Arbitrators, Fellow

  • IAPP certified AIGP, CIPP/US, CIPP/E, CIPM

  • International Cannabis Bar Association, Professional Responsibility & Ethics Committee (emeritus/advisor)

  • The Congress of Neutrals, Board of Directors (former)

ADR Panels

  • U.S. District Court, Northern District of California, Mediation Panel

  • California Superior Court, Contra Costa, Marin Counties, MSC Panel

  • Financial Industry Regulatory Authority (FINRA), Arbitration Panel, chair status

 

Education

B.A., Economics, Swarthmore College (High Honors, Phi Beta Kappa), 1985

J.D., University of California at Los Angeles School of Law, 1990

Professional

NeimanADR, 2022 - Present

JAMS, Mediator & Arbitrator, 2018-2022

NeimanADR, 2004-2018

Rochon Capital Group, Ltd., CEO and General Counsel, 1995–2004