Our firm delivers focused, strategic guidance and regulatory counseling in connection with the full spectrum of federal securities laws and regulations that impact financial industry participants.
MR. K. BRAEDEN ANDERSON, SR.
Founding Attorney & Principal
Braeden is an impeccably trained attorney specializing in securities law, regulatory compliance, and enforcement defense. With extensive experience guiding some of the world’s largest corporations and firms through highly specialized disputes and "bet the company" investigations, Braeden takes pride in providing his clients with Biglaw value at boutique rates.
As distinguished and proud alumnus of Kirkland & Ellis and Sidley Austin in New York City and Washington, D.C., Braeden was part of several teams recognized with “Law Firm of the Year” honors by U.S. News – Best Lawyers® for both Securities Regulation (2020), and Regulatory Enforcement (2021).
While financial regulatory matters are his bread-and-butter, Braeden also handles sensitive employment matters and disputes involving senior executives, shareholders, and directors. In addition, Braeden has a strong business law practice with expertise that spans both traditional business sectors and emerging industries (A.I. and crypto). Braeden routinely handles capital raising and corporate governance issues for start-ups, fin-techs, social networks, and token issuers.
Prior to entering law practice, he played Division 1 college basketball for the Seton Hall Pirates, during which time his team won the Big East Conference Championship while he was attending law school.
TESTIMONIALS
Ashwath Narayanan - CEO and Director, Social Currant, Washington D.C.
“Social Currant had the opportunity to work with Braeden Anderson during a highly sensitive internal investigation, where he reported directly to a special committee. Braeden represented us with the utmost professionalism and skill, guiding us through every step of the process. His ability to break down complex issues and ensure we fully understood our options was invaluable. We greatly appreciated his clarity, dedication, and strategic counsel. We highly recommend Braeden and Anderson P.C. to any organization seeking exceptional legal representation.”
Nathan Anton - Principal at Anton Capital & Analyst at Loews Corporation, New York City
“I engaged Braeden to assist with legal work related to capital raising for private transactions. He provided 'big law' skills and insights while maintaining a personable and accessible communication style. His extensive experience with FINRA, the SEC, and various aspects of securities law has proven invaluable to our work together.”
Harrison Hodgin - Senior Corporate Counsel at StartEngine, Los Angeles
“I had the pleasure of working alongside Braeden at Sidley and see him as one of the most dedicated professionals I’ve ever met. His work ethic is tremendous—he approaches every task with diligence, focus, and an unwavering commitment to excellence. He is deeply invested in achieving the best outcomes for his clients and approaches every situation with empathy. He inspires trust and confidence, not just through his skills but also through his kindness and genuine care for others.”
Tom Boyle - Former Associate Vice President in Legal at JPMorgan Chase, New York City
“While working as in house counsel for a major financial firm I had the pleasure of working with Braeden on an extensive and complex internal review. Over an extensive period of time, Braeden routinely demonstrated his strong grasp of the law, as well as in depth knowledge of the facts. Braeden’s impressive work ethic and detail oriented commitment proved incredibly valuable in the outcome of the matter.”
James Moore - Chief Anti-Money Laundering Officer at Binance, Canada
“I had the privilege of working closely with Braeden on a complex and sensitive investigation. What truly distinguished Braeden was his ability to analyze complex issues, develop practical solutions, and maintain a steadfast work ethic under pressure made him an invaluable partner in achieving a successful outcome. Collaborating with Braeden was not only professionally rewarding but also a testament to the caliber of expertise and dedication he brings to his work. I would gladly work with him again and confidently recommend him to any organization seeking a legal professional of the highest standard.”
CORE PRACTICE AREAS & SERVICES
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Securities Enforcement Defense
We represent and defend companies and individuals in connection with investigations brought by U.S. financial regulators, including the Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), Public Company Accounting Oversight Board (PCAOB), New York Stock Exchange (NYSE), state regulators, and self-regulatory organizations (SROs).
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White Collar & Federal Investigations
When the government initiates contact, it is essential to address their inquiries with utmost seriousness. We conduct thorough internal investigations for corporations, their officers, and their boards, focusing on complex issues such as potential violations of anti-corruption laws like the Foreign Corrupt Practices Act (FCPA), the False Claims Act, securities and trading laws, and other regulatory compliance matters.
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Regulatory Counseling & Compliance
We offer proactive regulatory counseling to public companies and financial institutions on a range of matters, including the Investment Advisers Act, Securities Exchange Act, Regulation Best Interest (Reg BI), Gramm-Leach-Bliley Act (GLBA), GDPR, AML, KYC, Bank Secrecy Act, ESG product disclosure, the USA PATRIOT Act, Dodd-Frank, Sarbanes-Oxley (SOX), FCPA, the Volcker Rule, and other related areas.
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Internal Investigations & Whistleblower Response
When an issue arises that requires an internal investigation, our team conducts thorough, discreet inquiries into potential regulatory breaches, violations of law, compliance issues, whistleblower claims, or other events that may trigger a disclosure or reporting obligation. Our approach is centered on uncovering the facts while ensuring legal compliance and protecting our clients’ interests throughout the investigative process.
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FinTech, Start-Ups & Crypto
In fast-evolving sectors, we offer specialized legal services to address their unique challenges. We guide clients through complex regulations, capital raising, tokenization, general corporate governance, and structuring issues, ensuring compliance federal and state laws.
ANDERSON INSIGHTS
Securities Enforcement Defense
Facing an SEC or FINRA investigation?
Has your company been contacted by the PCAOB, NYSE, or state regulators?
White Collar & Federal Investigations
Has the DOJ (FBI or USAO) initiated contact with your business or its officers?
Concerned about compliance with anti-corruption or whistleblower protection laws?
FinTech, Start-Ups & Crypto
Looking to raise capital for your start-up?
Want to launch a token or navigate crypto regulations?
Regulatory Counseling & Compliance
Have a thorny SEC or FINRA regulatory question?
Need guidance on disclosures, AML/KYC requirements, policies and procedures?
Internal Investigations & Whistleblower Response
Facing a whistleblower claim or compliance concern?
Need a thorough internal investigation to assess potential regulatory breaches or reporting obligations?