Scott Andersen, Principal, Andersen PC to Speak at TKG's Event

Top Quote The Knowledge Group/The Knowledge Congress Live Webcast Series, the leading producer of regulatory focused webcasts, has announced today that Scott Andersen, Principal, - Andersen PC will speak at The Knowledge Group’s webcast entitled “FINRA Arbitration and Enforcement: What You Need to Know LIVE Webcast”. End Quote
  • (1888PressRelease) September 28, 2017 - This event is scheduled for October 5, 2017 @ 12:00 pm – 1:30 pm (ET).

    For further details, please visit:
    About Scott Andersen

    Scott Andersen is principal at - Andersen PC, a securities regulatory and defense law firm, where he concentrates his practice on SEC and FINRA defense. 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. He has worked on significant matters involving: pump and dump frauds, illegal stock distributions in violation of Section 5, insider trading, research analysts conflicts of interest, market timing/late trading, enterprise corruption, stock manipulation, improper sales of complex products, and supervision and supervisory control systems. 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 in New York, Massachusetts (inactive) and Arizona.

    About Andersen PC
    The firm also provides advice to broker-dealers, investment advisers, funding platforms and Title III funding portals, hedge funds and issuers of securities to ensure compliance with the federal securities laws and the standards required by the SEC, FINRA and the state securities regulators, including when raising capital over the internet under the JOBS Act. In addition, the firm provides compliance advice concerning anti-money laundering (AML); the preparation of written supervisory procedures, including supervisory control procedures; independent testing, identifying weaknesses or vulnerabilities, and improving compliance programs; registration; compliance with new rules; meeting fiduciary duty standards and managing conflicts of interests; advertising, including social media; safe harbors and exemptions under the federal securities laws; the appropriateness and legality of certain compensation, fees, commissions and/or other charges; due diligence for offerings or products, including the sale of complex products to retail investors; and accredited investor verification.

    In addition, for select engagements, the Firm represents broker-dealers and registered representatives in FINRA securities arbitration matters.

    Event Synopsis:
    The Financial Industry Regulatory Authority, Inc. (FINRA) regulates broker-dealer firms and administers most securities-related arbitrations in the US. Over the years, FINRA has been active in working to carry out its mission to protect investors by making sure the securities industry operates fairly and honestly. It has a set of rules for arbitrating disputes between FINRA members and their customers. On November 20, 2016, amendments to the Rule 12504 and 13540 of the FINRA Code of Arbitration Procedure was approved. The changes provide a new and additional basis for pre-hearing motions to dismiss in FINRA arbitrations. In light of these changes, it is important for FINRA members to keep abreast of the latest updates in FINRA arbitrations to reduce the chances of a surprise award.

    In this LIVE Webcast, a panel of distinguished professionals and thought leaders organized by The Knowledge Group will discuss FINRA arbitration process, including pre-hearing matters, motion practice, hearings, and awards. They will also provide guidance to FINRA investigations and enforcement actions.

    Key topics include:
    • Understanding FINRA Arbitration
    • The Arbitration Process
    • Risks of FINRA Disciplinary Action
    • Latest Updates to FINRA Code of Arbitration Procedure
    • Best Practices for Counsel

    About The Knowledge Group, LLC/The Knowledge Congress Live Webcast Series
    The Knowledge Group was established with the mission to produce unbiased, objective, and educational live webinars that examine industry trends and regulatory changes from a variety of different perspectives. The goal is to deliver a unique multilevel analysis of an important issue affecting business in a highly focused format. To contact or register to an event, please visit:

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