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.