Mr. Andersen has broad experience with regulatory investigations and enforcement actions on Wall Street. 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. His matters include: pump and dump stock manipulations; illegal security distributions; offering frauds; insider trading, research analysts conflicts of interest; mutual fund market timing/late trading; enterprise corruption (RICO); improper sales of complex securities products; ICOs, cryptocurrency and digital asset securities; and supervision and supervisory control systems.

He has worked on matters with the SEC, Department of Justice and state prosecutorial and regulatory agencies.  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 the States of New York and Arizona, and the U.S. District Court, Southern District of New York and the U.S. District Court, Eastern District of New York.  Mr. Andersen was an Adjunct Professor at his alma mater, Albany Law School, where he taught on securities fraud and financial crime from 2021 through 2024.  He is a member of the Executive Council, Securities Regulation Section of the State Bar of Arizona since 2023.