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 and buy/sell transactions (whether larger or smaller transactions).

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 Registered Investment Advisors (“RIAs”) and other members of the securities and financial planning industries, including buy/sell agreements and practice transition issues.

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, products liability cases involving international manufacturers, 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.

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.