Scott M. Andersen, Counsel – Securities and Regulatory Compliance
Scott Andersen is principal at Andersen, P.C., a securities regulatory and defense law firm. The firm provides securities regulatory and compliance advice on Blockchain, Cryptocurrency, Crowdfunding and Capital Raising over the Internet, for Broker-Dealers, Investment Advisers, Funding Portals or Platforms, Issuers and others. Mr. Andersen from March 2012 to February 2015 was deputy regional chief counsel at the Financial Industry Regulatory Authority (FINRA) in Los Angeles, where he oversaw all FINRA enforcement cases prosecuted by the Los Angeles office and managed the West region’s attorneys. Mr. Andersen has broad experience with regulatory investigations and enforcement actions. He has led complex criminal and civil prosecutions for the New York State Attorney General’s office, the New York Stock Exchange and FINRA. His earlier positions include: enforcement director, FINRA, NYC, July 2007 to March 2012; enforcement director, NYSE Regulation, Inc., NYC, December 2004 to July 2007; trial counsel/senior special counsel, NYSE Regulation, Inc., NYC, August 2003 to December 2004; co-chief, Securities Prosecutions Unit, Bureau of Investor Protection and Securities, Office of the New York State Attorney General, NYC, June 1999 to August 2003; and Assistant Attorney General, Office of the New York State Attorney General, NYC, August 1995 to June 1999. He is a cum laude graduate of Albany Law School and is admitted to practice in New York, Massachusetts (inactive), Arizona, the U.S. District Court, Southern District of New York, and the U.S. District Court, Eastern District of New York.