Andrew is a seasoned litigator with a specialized focus on representing broker-dealers, Registered Investment Advisors (RIAs), financial planners, Certified Financial Planners® (CFPs®), financial advisors, and other financial institutions and professionals. His expertise spans litigation, arbitration, defense against regulatory enforcement actions, and general regulatory and compliance matters. Andrew excels in managing broker and advisor transition matters, offering strategic guidance and counsel to advisors and brokers transitioning to independence through all stages of the process, as well as overseeing buy/sell transactions of varying sizes. He frequently advises financial professionals on transitioning their practices and resolving solicitation and non-compete issues.

In his commercial litigation practice, Andrew represents closely held businesses, financial services companies, creditors, banks, small businesses, and contractors. His experience includes litigating breach of contract and enforcement of agreements, partnership/joint venture disputes, business torts, breach of fiduciary duty allegations, and shareholder issues in state and federal courts across the country, including numerous arbitration forums. Andrew assists clients in a wide spectrum of litigation matters, including high stakes litigation, fiduciary claims, shareholder disputes, disputes between family members and business partners, and real estate matters.  Andrew has experience in all stages of complex civil litigation, including drafting pleadings and briefs, engaging in written and deposition discovery, arguing motions, trying cases, and handling appeals. He has appeared in state and federal courts around the country.  

Andrew's extensive experience includes handling a broad spectrum of securities regulatory and litigation matters. He has represented broker-dealers, investment advisers, registered representatives, and others in private and public investigations and enforcement proceedings initiated by the SEC, FINRA, and other self-regulatory organizations, as well as state regulators. His securities litigation defense practice encompasses:

• FINRA customer arbitration claims related to unauthorized trading, sales practice violations, and suitability allegations;
• Securities and shareholder litigation across various jurisdictions nationwide;
• FINRA intra-industry business disputes;
• FINRA employment matters concerning wrongful termination, Form U4/U5 expungement, and defamation;
• Broker and advisor transition litigation.

Andrew's securities enforcement defense practice for broker-dealer organizations, RIAs, and other financial advisor groups includes:

• SEC Investigations;
• FINRA Disciplinary Proceedings;
• FINRA 8210 Notices;
• FINRA Letters of Inquiry;
• SEC Enforcement Actions;
• Responding to investigations from state securities regulators.

Additionally, Andrew provides regular counsel on business formation and corporate structuring for RIAs and other members of the securities and financial planning industries. This includes advising on buy/sell agreements and practice transition issues, particularly for advisors and brokers pursuing independence. He is actively involved with the Financial Planning Association of Minnesota and regularly advises broker-dealers, Registered Investment Advisors, and Certified Financial Planners® on regulatory compliance and business transactions both in Minnesota and nationwide.

As a small part of his practice, Andrew also advises entrepreneurs and businesses on Non-Fungible Tokens (NFTs), cryptocurrency, and Bitcoin, addressing securities and contract matters in these areas. Leveraging his securities and regulatory background, Andrew and his team at Kutak Rock assist participants in the crypto space to comply with laws and regulations, proactively driving development and investments in this evolving sector.