- J.D., Hamline University School of Law, magna cum laude
- B.A., Pepperdine University, cum laude
- U.S. Court of Appeals for the Eighth Circuit
- U.S. District Court for the District of Minnesota
- U.S. District Court for the District of North Dakota
- U.S. Bankruptcy Court for the District of Minnesota
- Financial Planning Association, Minnesota
- Minnesota State Bar Association
- Hennepin County Bar Association
- Association for Corporate Growth, Minnesota
Andrew is a litigator at heart whose practice focuses 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).
Andrew handles a wide variety of both securities regulatory as well as litigation matters and has represented broker-dealers, investment advisers, registered representatives and others in connection with private and public investigations and enforcement proceedings brought by the SEC, FINRA and other self-regulatory organizations, as well as state regulators. Andrew’s experience also includes civil litigation matters and arbitration proceedings relating to securities issues. Andrew’s securities litigation defense practice on behalf of financial institutions, broker/dealer organizations, RIAs and related employees and associated persons involves:
- FINRA customer arbitration claims involving unauthorized trading, sales practice violations, suitability allegations and churning;
- Securities and shareholder litigation in several jurisdictions throughout the country;
- FIRNA intra-industry business disputes;
- FINRA employment matters regarding wrongful termination, Form U4/U5 expungement, wrongful termination and defamation; and
- Broker transition litigation.
Andrew’s securities enforcement defense practice on behalf of 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; and
- Responding to investigations from state securities regulators.
Additionally, Andrew regularly counsels clients on business formation issues and corporate structuring for RIAs and other members of the securities and financial planning industries, including buy/sell agreements and practice transition issues, including counseling advisors and brokers going independent through all stages of the process.
Andrew advises entrepreneurs, other individuals and businesses on Non-Fungible Tokens (“NFTs”), cryptocurrency and Bitcoin, including securities and contract matters in those areas. Using his securities and regulatory background, Andrew and the team at Kutak Rock assist participants in the crypto space to comply with laws and regulations, be proactive, and drive development and investments in this developing space.
In addition to his securities industry focus, he tenaciously and regularly represents clients in a wide variety of general commercial and business litigation matters, including contract disputes, real estate disclosures cases, employment matters, Fair Credit Reporting Act (“FCRA”) litigation and advice, business and shareholder disputes, insurance coverage litigation and land use matters. This representation includes the full spectrum of site investigations, discovery, depositions, dispositive motion practice and trial.
In his commercial litigation practice, Andrew provides counsel for closely held businesses, financial services companies, creditors, banks, small businesses and contractors. Andrew’s commercial litigation experience includes breach of contract and enforcement of agreements, partnership/joint venture disputes, business torts, breach of fiduciary duty allegations, and shareholder issues. He has prosecuted and defended these matters in state and federal courts throughout the country, including numerous arbitration forums.
Andrew is active in the Financial Planning Association of Minnesota and regularly represents and advises broker/dealers, Registered Investment Advisors, and Certified Financial Planners® in regulatory compliance and business transactions in Minnesota and across the country.
- "FINRA 2021 Enforcement Update," September 2021; A collection of Financial Industry Regulatory Authority Disciplinary Actions
- "COVID-19: Business Interruption Insurance Suit Examination," April 2020 (author)
- "5 Ways to Invest in Real Estate with Tips from the Pros," Fit Small Business, October 2018 (Quoted)
- "26 Tips for Landlords from the Pros," Fit Small Business, November 2017 (Quoted)
- "Deposition Tips For Lawyers," Conferencecalling Blog, October 2017 (Quoted)
- "Supreme Court Limits Where Companies Can Be Sued for Personal Injuries," Bigger Law Firm, June 2017 (Quoted)
- "How Restaurant Owners Fight Bad Reviews Online," AvvoStories, May 2017 (Quoted)
- “Robos Beware: How to Keep FINRA Away,” January 2016
- “Constructing Your Network: Business Trends and Business Development,” LinkedIn, November 2015 (author)
- “The Proposed SEC Reporting Modifications for Investment Companies: Keep Your Firms on Track,” The Knowledge Group Webinar, December 2015
- California State Assemblyman Kevin Jeffries, Legislative Director, 2007-2010
- Jesse M. Unruh, Assembly Fellow, 2006-2007
- Authored appellate brief before Eighth Circuit Court of Appeals that successfully reversed District Court’s order regarding life insurance policy coverage in precedent-setting opinion. Yang v. Farmers New World Life Insurance Company, 898 F.3d 825 (8th Cir. 2018).
- Successful oral argument before Minnesota Court of Appeals regarding bankruptcy court jurisdiction and fraudulent transfer action. Forster v. Theis, 906 N.W.2d 846 (Minn. Ct. App. 2017).
- Authored appellate brief before Eighth Circuit Court of Appeals affirming client’s successful dismissal of case relating to breach of contract. Little Otters of Love, LLC v. Rosenberg, et al., 724 Fed. Appx. 498 (8th Cir. 2018).
- Authored motion successfully transferring breach of contract litigation matter from the United States District Court for the Central District of California to United States District Court for the District of Minnesota. Speed RMG Partners, LLC, et al v. Arctic Cat Sales, Inc., et al, Case No. CV 19-2362 FMO (GJSx) (C.D. Cal. Feb. 23, 2020).
- Represented investment bank in successfully compelling production of documents from third-party in financial services litigation. B. Riley FBR, Inc. v. Clarke, 2020 WL 2488045 (D. Minn. May 13, 2020).
- Represent broker/dealer in federal court litigation regarding allegations of investment fraud and due diligence related to investments in startup entity involving multi-state raise, including successfully dismissing portions of case. In re: OneJet, Inc., 2020 WL 2617043 (W.D. Pa. Bk. May 22, 2020).
- Second-chaired three-day FINRA arbitration hearing resulting in $225,000.00 judgment for client in investment fraud dispute. Carson v. Suter, et. al, FINRA Case No. 11-02400.
- Counsel to clients in multiple FINRA enforcement matters and FINRA investigations.
- Counsel to clients in multiple SEC investigations and SEC enforcement matters.
- Counsel to independent brokerage firms in FINRA arbitrations and other litigation matters.