As the chair of the Securities and Investment Practice Group, in addition to handling cases and securities clients, Andrew coordinates and oversees the activities of a dedicated group of lawyers throughout the firm's offices. Andrew has successfully represented investment firms, professionals, registered investment advisors, financial planners and insurance agents in matters involving business disputes, customer complaints, regulatory inquiries/ investigations, mediations, arbitrations and litigation. He has significant experience representing clients in various forums including litigation, arbitration, mediation, internal investigations, regulatory examinations and investigations.
Andrew and his group members represent the interests of FINRA member broker-dealers, registered representatives, certified financial planners, RIAs, insurance agents and brokers and other securities and insurance industry professionals throughout the United States. As well, he is called upon by investment firms to conduct investigations and conduct seminars and presentations on timely business and investment topics. This team also counsels and represents brokers and firms on employment issues and litigation.
Andrew's background includes licensure as an insurance agent in the states of Pennsylvania and New Jersey, licensure as a real estate agent in Pennsylvania, and licensed with various states and with FINRA as a Registered Representative. He has experience as a broker with FINRA and New York Stock Exchange member investment firms as well as an independent FINRA member broker-dealer.
In addition to his Series 63 and Series 7 licensure, he was licensed as an Associated Registered Investment Adviser. Andrew's work background also includes his position as Professional Liability Specialist with a major insurance company handling professional liability matters such as accountant malpractice, tax-shelter/limited partnership matters and miscellaneous professional liability litigation (directors and officers, legal malpractice, coverage).
As a lecturer and guest speaker, Andrew has made presentations for various organizations and broker-dealers in relation to securities business and practices, directors and officers and investment related matters. He has also authored numerous articles for brokerage firms, Delaware Valley Society of Financial Planners, The Defense Digest and other publications. He also serves as a securities arbitrator for FINRA and previously served on the Board of Directors for the Delaware Valley Society of the FPA which services New Jersey, Delaware and Pennsylvania. He has served as outside counsel to the Delaware Valley Society of the FPA.
Andrew graduated from Mansfield University in 1980 and completed his juris doctor in 1987 at the University of Baltimore School of Law.
•Selling Investments to and Advising Senior Citizens, Co-Author with Rachael Luken, Esquire
•Senior Citizens: Seller Be Warned Versus Buyer Beware!
•Managing Client Expectations and Customer Complaints
•Bobbing, Weaving and Keeping Your Business Alive: The Ever Changing Regulatory Environment Rules
•Regulators Scrutinize Variable Annuity Sales and Switching, Co-Author with Adam Bronstein, Esq.
•Risk Management for the Professional Advisors: New Changes in the Tax Law
•Professional Liability Errors and Omissions Insurance: the Dilemma Financial Planners Insurance and ...to 'Go Naked' or Cover Your Assets When Your Client Is No Longer Your Friend
•Regulators on the Prowl
•Ideas for Financial Planning, Investment and Insurance Professionals to Protect and Defend Against Customer Complaints, Regulatory Inquiries and Litigation
•Twelve Simple Ways for Investment and Insurance Professionals to Protect Themselves and Defend Against Customer Complaints
•Securities Arbitration Program to Undergo Overhaul
•Various Articles, Pennsylvania Institute of CPA's Journal, Claim of the Month
•Brokers and Financial Advisors Transitioning, Legal Obstacles and Issues, Featured Speaker, Financial Services Institute (FSI) National Conference 2013
•The New FINRA Rules and The Effect on Future Claims, featured speaker, 6 th Annual National E&O Insurance ExecuSummit, June 2012
•Mile High Compliance Workshop, Speaker, Denver, Colorado
•CE and Practice Management Conference, Featured Speaker, MML Investor Services, Inc. 2008
•Variable Annuity Due Diligence and Sales Practices: C.Y.A. Equity Index Annuities
•Compliance Boot Camp
•Selling and Servicing Senior Citizens
•Compliance Best Practices Boot Camp
•Best Practices Boot Camp: Tales From The Trenches...The Perspective Of Outside Legal Counsel
•Investment Professionals Annual Firm Compliance Workshop
•Practice Management & Compliance Boot Camp 101...The Perspective Of In-House And Outside Counsel
•Best Practices Boot Camp: Scared Straight! Tales From The Trenches
•The Basics and Recent Developments In The Financial Institution Arenas
•Mutual Fund Sales Practices
•Regulatory Environment and Overview
•Financial Institutions and Broker/Dealers; Claims and Underwriting in the USA
•Arbitration, Litigation & Compliance Management in the Financial Services Industry
•Tales From the Trenches and Perspectives of Outside Counsel: Investment Best Practices Securities 101
•Investments Professionals Best Practices Boot Camp 101
•Securities Arbitrator Training and Education
•Handling of Securities Claims
•Analyzing Securities Matters
•When Your Client Is No Longer Your Friend
•Customer Complaints and Regulatory Inquiries
•CYA Covering Your Assets, Surviving the Bear Market
•Mediating a Securities Case
•Business and Risk Management
•Various speaking engagements for broker-dealers, RIAs, FPAs representatives and other organizations
Pro Bono Activities
•Volunteer, Philadelphia Distance Run
•Volunteer, Habitat for Humanity
Honors & Awards
•AV Preeminent by LexisNexis Martindale-Hubbell
•Pennsylvania Super Lawyer, 2007
Year Joined Organization: 1992