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Andersen, P.C.
Securities Regulatory Attorney

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SEC and FINRA Defense Attorney

The firm represents entities and individuals under investigation by the U.S. Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), the Department of Justice (DOJ), state securities regulators (e.g., NY Attorney General’s office) and other law enforcement or regulatory agencies for securities-related violations.  The firm is focused on representing broker-dealers, registered representatives, investment advisers, investment platforms and Title III crowdfunding portals, issuers and their officers, directors and agents in government white collar, regulatory and self regulatory organization investigations and enforcement actions.  Services include: responding to subpoenae and FINRA Rule 8210 requests, and litigating SEC and FINRA regulatory matters through trial.

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Blockchain, Cryptocurrency and Digital Securities

The firm provides securities regulatory guidance for regulated intermediaries such as broker-dealers, funding portals and investment advisers who seek to expand their business model to include Digital Securities in the Blockchain ecosystem. The firm regularly represents its clients before the SEC and FINRA.

The firm provides advice to its clients to comply with the requirements of the federal securities laws, including the 1933, 1934 and 1940 Acts, state blue sky laws, and FINRA and SRO rules.

 

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Securities Regulatory Advice

The firm provides advice to regulated intermediaries including broker-dealers, investment advisers and Title III funding portals to ensure compliance with the federal securities laws and the standards required by the SEC and FINRA, including:

  • anti-money laundering (AML); blockchain and security token offerings, secondary trading, compliance with the federal securities laws; the preparation of written supervisory procedures, including supervisory control procedures; identifying weaknesses or vulnerabilities, and improving compliance programs; compliance with new rules; meeting fiduciary duty standards and managing conflicts of interests; advertising, including social media; identification of regulatory and legal risks and identifying proactive solutions to address these issues; safe harbors under the federal securities laws; the appropriateness and legality of certain compensation, fees, commissions and/or other charges; due diligence for offerings or products, including the sale of complex products to retail investors; accredited investor verification; and formation and registration of broker-dealers including Alternative Trading System (ATS), investment advisers and Title III funding portals.

 

Scott M. Andersen

Scott M. Andersen

Scott Andersen is principal at Andersen, P.C., a SEC and FINRA defense law firm. Mr. Andersen from March 2012 to February 2015 was deputy regional chief counsel at the Financial Industry Regulatory Authority (FINRA) in Los Angeles, where he oversaw all FINRA enforcement cases prosecuted by the Los Angeles office and managed the West region’s attorneys. Mr. Andersen has broad experience with regulatory investigations and enforcement actions. He has led complex criminal and civil prosecutions for the New York State Attorney General’s office, the New York Stock Exchange (NYSE) and FINRA. He has worked on significant matters involving: pump and dump frauds, illegal stock distributions in violation of Section 5, insider trading, research analysts conflicts of interest, market timing/late trading, enterprise corruption, stock manipulation, improper sales of complex products, and supervision and supervisory control systems. He has worked on matters with the SEC and the Department of Justice.  His earlier positions include: enforcement director, FINRA, NYC, July 2007 to March 2012; enforcement director, NYSE Regulation, Inc., NYC, December 2004 to July 2007; trial counsel/senior special counsel, NYSE Regulation, Inc., NYC, August 2003 to December 2004; co-chief, Securities Prosecutions Unit, Bureau of Investor Protection and Securities, Office of the New York State Attorney General, NYC, June 1999 to August 2003; and Assistant Attorney General, Office of the New York State Attorney General, NYC, August 1995 to June 1999. He is a cum laude graduate of Albany Law School and is admitted to practice in New York, Massachusetts (inactive), Arizona, the U.S. District Court, Southern District of New York, and the U.S. District Court, Eastern District of New York.

Speaking and Writing

Contact

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Andersen, P.C.
1350 Avenue of the Americas, 2nd Floor
New York, NY 10019
914-552-2652