Scott M. Andersen Attorney Profile on UpCounsel
Scott M. Andersen

Scott M. Andersen

Attorney at Law

New York
New York
Licensed in
NY
Albany Law
School of Union
University
About
Scott Andersen is principal at Andersen, P.C., a NYC securities regulatory and defense law firm. Mr. Andersen was most recently deputy regional chief counsel at FINRA in Los Angeles, and he has broad experience with regulatory investigations and enforcement actions. He has led complex criminal and civil prosecutions for the NY Attorney General’s office, the New York Stock Exchange and FINRA. His earlier positions include: enforcement director, FINRA; enforcement director, NYSE Regulation, Inc.; co-chief, Securities Prosecutions Unit and Assistant Attorney General, Bureau of Investor Protection and Securities. He is a cum laude graduate of… read more Albany Law School and is admitted in New York.
24
Years
experience

Practice Areas

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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.

Feb 2015 - Present

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.

Mar 2012 - Feb 2015

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

Jul 2007 - Mar 2012

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.

Dec 2004 - Jul 2007

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.

Aug 2003 - Dec 2004

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.

Jun 1999 - Aug 2003

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.

Aug 1995 - Jun 1999

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