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Andrew Shedlock Quoted in CityWire Article: RIAs May Increasingly Fight Back Against Gensler’s Active SEC

News | March 16, 2023


Andrew Shedlock, a partner in Kutak Rock's Minneapolis office, is quoted in the article "RIAs May Increasingly Fight Back Against Gensler’s Active SEC," published March 15 in CityWire.

The article discusses how RIAs and individual advisors accused by the Securities and Exchange Commission (SEC) of securities law violations are increasingly speaking out and, in some cases, fighting back against the regulator’s charges and penalties.

“This is definitely a trend where the SEC is viewed by some as being overly aggressive, and some believe chair [Gary] Gensler has been a more aggressive regulator than most,” said Andrew Shedlock, a partner at law firm Kutak Rock who represents RIAs in regulatory litigation proceedings.

Read the full article here.

Andrew is a litigator who focuses his practice on representing broker/dealers, Registered Investment Advisors (“RIAs”), financial planners, Certified Financial Planners®, CFPs®, financial advisors and other financial institutions and professionals in litigation, arbitration, defense of regulatory enforcement actions, general regulatory and compliance matters, broker and advisor transition matters, guiding and counseling advisors and brokers going independent through all stages of the process, and buy/sell transactions (whether larger or smaller transactions).