Seasoned Securities Regulatory Defense Attorney

Scott Andersen is principal at Andersen, P.C. (finLawyer.com), a SEC and FINRA defense law firm with a national practice originating in Manhattan. 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 (Los Angeles, San Francisco, Denver and Seattle) 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. 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 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.  Scott is an Adjunct Professor at his alma mater, Albany Law School, where he teaches on securities fraud and financial crime.

Practice Areas

SEC and FINRA Defense

The firm represents entities and individuals across the United States who are 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 law violations.

Crypto and Digital Asset Securities

The firm provides securities regulatory guidance to market participants such as broker-dealers, Alternative Trading Systems (ATS), and investment advisers who seek to expand their business to include Digital Asset Securities. The firm frequently represents its clients before the SEC and FINRA and builds teams of former regulators to address the unique business challenges confronting its clients.

Securities Regulatory Advice

The firm provides advice to broker-dealers, Alternative Trading Systems (ATS), investment advisers and Title III funding portals and others throughout the United States to meet the requirements of the federal securities laws and rules and regulations of the SEC and FINRA

Free Consultation

Call us at (914) 552-2652 for a free consultation. This website constitutes Attorney Advertising.

Andersen, P.C., 1350 Avenue of the Americas, 2nd Floor, New York, NY 10019, and 5635 N. Scottsdale Rd, Ste 170, Scottsdale, AZ 85250 (dba finLawyer.com, P.C. in AZ)

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