Financial Services Disputes and Investigations

Attorney - Litigation and Investigations

Andrew focuses on representing broker-dealers, registered investment advisers, insurance companies, international banks, and other financial services institutions in securities litigation and regulatory matters.  Andrew has extensive experience responding to regulatory investigations and other inquiries initiated by the SEC, FINRA, the IRS, and state regulatory authorities. He also assists the firm’s broker-dealer clients in customer disputes adjudicated by FINRA arbitration panels and in state courts.

When representing clients Andrew utilizes his experience in both government and private practice to best serve the diverse needs of financial services companies. This includes approaching matters with a deep understanding of the legal, business, compliance, and public policy issues involved.

Andrew is familiar with the most current legal technology platforms available, particularly in the field of eDiscovery. By leveraging technology in litigation, internal investigations, and regulatory inquiries, Andrew is able to address the needs of financial services clients at both a high level of quality and cost effectiveness.

Prior to joining the firm, Andrew served as Deputy Counsel for the Missouri Secretary of State focusing on securities regulation, corporate structuring and compliance, legislative and regulatory affairs, commercial transactions, elections law, and records retention. While serving in the public sector, he conducted internal audits, represented the state in civil litigation matters and administrative law hearings, and responded to public records requests and subpoenas.

In addition to his legal work, Andrew is part of the firm’s St. Louis Public Schools tutoring program.

PROFESSIONAL AFFILIATIONS The Bar Association of Metropolitan St. Louis (BAMSL)