LEADERSHIP

Mr. Anderson defends clients in connection with investigations and examinations initiated by the U.S. Securities and Exchange Commission (SEC), Department of Justice (DOJ), Financial Industry Regulatory Authority (FINRA), and other federal and state regulators. He also leads internal investigations for public company boards, audit committees, and special committees, addressing issues related to financial reporting, disclosure, and compliance. Mr. Anderson also maintains a strong regulatory counseling practice covering the full spectrum of securities laws and complex regulatory matters. He provides strategic guidance to public companies, senior executives, broker-dealers, financial services professionals, hedge funds, private equity funds, investment advisers, and digital asset issuers—helping them navigate the intricate and evolving regulatory landscape.

Mr. Anderson’s practice is built on the foundational experiences gained while working alongside some of the most respected figures in the field at top firms like Sidley Austin LLP and Kirkland & Ellis LLP, as well as at innovative financial institutions like Robinhood Markets, Inc. (HOOD).

Mr. Anderson delivers top-tier service and results, employing the same winning strategies and playbooks used by the largest firms—at competitive rates that provide exceptional value for clients. He combines a deep knowledge of traditional principles with a fresh, modern approach. His clients benefit from a comprehensive and authoritative analysis, allowing them to navigate complex regulatory landscapes effectively and achieve outstanding outcomes without the overhead of larger firms.

Representative Matters

• Public Company Securities Fraud Allegation
  SEC and DOJ investigation concerning allegations of securities fraud involving a major public company, focusing on fraudulent financial practices and related party transactions.

• Internal Embezzlement Investigation for an NFL Team
  Internal investigation into a significant embezzlement scheme within a prominent NFL team, conducting a comprehensive audit and implementing corrective measures.

• DOJ Investigation into Bank Lending Practices
  DOJ investigation into lending practices at a regional bank, navigating regulatory requirements and addressing potential violations.

• Congressional Inquiry into NFL Business Practices
  Congressional investigation into business practices within a major professional football league, coordinating with legislative committees and ensuring transparency.

• Municipal Securities Trading SEC Investigation
  SEC investigation into municipal securities trading by a global financial institution, focusing on regulatory compliance and trading practices.

• Internal Offshore Reinsurance Investigation
  Internal investigation into disclosure practices and offshore reinsurance activities for a multinational corporation, assessing international regulatory compliance.

• Joint SEC-FINRA Inquiry into Market Volatility
  Coordinated regulatory inquiry brought by multiple government agencies against a Wall Street bank regarding their trading practices and response to market volatility.

• SEC Inquiry into Insider Trading
  SEC inquiry into insider trading involving a large financial institution, implementing a comprehensive risk mitigation strategy and engaging with regulators.

  *Some matters occurred outside of Anderson P.C.