Andersen, P.C.
Securities Regulatory Attorney


Blockchain, Cryptocurrency, Crowdfunding and Raising Capital using the Jumpstart Our Business Startups (JOBS) Act

The firm provides regulatory guidance and advice for securities and token offerings to broker-dealers, funding platforms and portals, investment advisers and issuers who seek to raise capital under Title II, III or IV of the JOBS Act.

The firm provides compliance 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.

The firm advises clients on portal and broker-dealer registration and regulation, general solicitation, offering exemptions, blockchain, advertising, and regulatory and litigation risks.


U.S. Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA) and Department of Justice (DOJ) Regulatory and White Collar Defense Practice

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 (NY Attorney General, etc.) and other law enforcement or regulatory agencies for securities-related violations.  The firm is focused on representing broker-dealers, investment advisers, investment platforms and portals, issuers, hedge funds and their employees in government white collar, regulatory and self regulatory organization investigations and enforcement actions.

Compliance Headlines Newspaper Torn New Business Regulations Com

Securities Regulatory and Compliance Advice

The firm provides advice to broker-dealers, investment advisers, funding platforms and Title III funding portals, hedge funds and issuers of securities to ensure compliance with the federal securities laws and the standards required by the SEC, FINRA and the state securities regulators, including:

  • anti-money laundering (AML); blockchain and token offerings, the preparation of written supervisory procedures, including supervisory control procedures; independent testing, identifying weaknesses or vulnerabilities, and improving compliance programs; registration; compliance with new rules; meeting fiduciary duty standards and managing conflicts of interests; advertising, including social media; 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; and accredited investor verification.


Scott M. Andersen

Scott M. Andersen

Scott Andersen is principal at Andersen, P.C., a securities regulatory and 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 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. 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



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