Scott M. Andersen
Attorney at Law
New York
NY
About
experience
Practice Areas
Work History
Andersen, PC
Principal
Feb 2015 - Present
Scott Andersen is principal at Andersen PC, a securities regulatory and defense law firm, where he concentrates his practice on SEC and FINRA defense.
Financial Industry Regulatory Authority
Deputy Regional Chief Counsel, West Region
Mar 2012 - Feb 2015
Managed and supervised Los Angeles and regional based attorney investigations and litigation, including providing substantive direction to attorneys; oversaw regions’ high profile investigations and enforcement actions, including national priority matters.
Financial Industry Regulatory Authority
Enforcement Director
Jul 2007 - Mar 2012
Supervised complex investigations of broker-dealers and registered representatives for a wide range of issues, e.g., rogue trading, complex product sales to retail investors, unconventional investments, fraud, anti-money laundering, financial and operational issues, supervision and sales practice issues. Oversaw/trained attorneys & investigators. Tried regulatory cases before FINRA hearing panels
NYSE REGULATION INC., DIVISION OF ENFORCEMENT
Enforcement Director
Dec 2004 - Jul 2007
Supervised unit of attorneys and other staff in the investigation and prosecution of regulatory enforcement cases brought on behalf of the New York Stock Exchange. Trained and instructed newly admitted attorneys on conducting investigations, taking testimony, and prosecuting sales practice enforcement cases.
NYSE REGULATION INC., DIVISION OF ENFORCEMENT
Trial Counsel/Senior Special Counsel
Aug 2003 - Dec 2004
Investigated & prosecuted violations of NYSE rules and federal securities laws pertaining to trading improprieties, conflicts of interest, sales practice misconduct and supervisory deficiencies; was lead attorney on 2 significant market timing/late trading investigations which were each settled in the tens of millions of dollars. Tried enforcement cases before the NY Stock Exchange hearing panels.
OFFICE OF THE NEW YORK STATE ATTORNEY GENERAL
Co-Chief, Securities Prosecutions Unit
Jun 1999 - Aug 2003
Managed criminal investigations and prosecutions of securities fraud and other white collar crimes; supervised, together with counterpart in the Criminal Prosecutions bureau, 10 attorneys based in New York City. Tripled the number of securities and white collar prosecutions and convictions brought by the NY State Attorney General. Tried white collar, securities and financial fraud criminal cases.
OFFICE OF THE NEW YORK STATE ATTORNEY GENERAL BUREAU OF INVESTMENT PROTECTION AND SECURITIES
Assistant Attorney General
Aug 1995 - Jun 1999
Investigated and prosecuted civil and criminal cases against brokers-dealers, issuers, mutual funds and individuals for violations of state securities laws; Tried complicated securities fraud cases.