Profile

Andrew is an accomplished SEC and white collar defense practitioner who represents clients in government investigations and civil litigation.  Andrew has expertise in securities, derivatives, trading, and markets, and is a proven trial lawyer. 

Andrew’s practice is focused on the representation of companies and individuals under investigation by the Department of Justice, the SEC, the CFTC, state attorneys general, and foreign regulators.  He has represented major global financial institutions in investigations by the DOJ, SEC and CFTC; a Fortune 100 company in criminal DOJ investigations involving fraud and international corruption; a major hedge fund and its CEO in an SEC investigation; and, the CFO of a public company in an SEC investigation.  

Andrew previously served in government with both the SEC and the U.S. Attorney’s Office for the Southern District of New York, where he led the Galleon insider trading investigation and prosecuted numerous securities and wire fraud cases. He served as trial counsel in U.S. v. Rajaratnam, the high-profile criminal trial resulting in the conviction of Raj Rajaratnam. Andrew’s work as a prosecutor was profiled in the Wall Street Journal and The New Yorker, and he has spoken about the Galleon case and federal securities law enforcement at Harvard Law School and the NYU School of Law.

Andrew’s clients have included HSBC, Barclays, Nike, ValueAct Capital, BNP Paribas, Target and Tudor Investment Corp. 

In addition to his white collar work, Andrew also represents clients in civil litigation ranging from RMBS defense work to plaintiff-side opt-out matters.

Experience

Andrew has led or co-led the following significant matters:

  • Representing HSBC in various matters before the SEC and DOJ, including a civil DOJ investigation into RMBS issuance and an SEC investigation into potential market manipulation
  • Representing Barclays in connection with a DOJ and CFTC investigation into alleged manipulation of a benchmark rate; multiple SEC investigations relating to potential insider trading, fraud, and market manipulation; and CFTC investigations relating to insider trading and valuation
  • Serving as lead counsel to ValueAct in connection with an unprecedented antitrust litigation filed by the DOJ relating to Hart-Scott-Rodino’s “Investment-Only Exemption”
  • Serving as lead counsel for HSBC in civil litigation filed by FHFA relating to RMBS issuance
  • Serving as trial counsel for the government in U.S. v. Rajaratnam, which resulted in the criminal conviction of Raj Rajaratnam on numerous counts of insider trading
  • Representing head trader at hedge fund with approx. $20 bn in AUM in SEC and internal investigation that resulted in no action
  • Representing individual wealth management adviser in internal investigation that resulted in no action

Publications & Presentations

The Hart-Scott-Rodino Act’s First Amendment Problem, Cornell Law Review (with Scott Gant and Ted Normand) (2017)

Panelist: Global Investigations, FCPA & Fraud, International Legal Alliance Summit, New York (June, 2017)

Panelist: Anatomy of an Insider Trading Investigation, SIFMA C&L Annual Seminar, San Diego (March, 2017)

Panelist: Lessons from Developments in US Regulation and Litigation, De Pardieu Brocas Maffei Reception, Paris (September, 2016)

Panelist: Hot Button Enforcement Issues for Private Funds, PLI: Hedge Fund and Private Fund Enforcement & Regulatory Developments 2015, New York (November, 2015)

Education

  • Harvard Law School, J.D., cum laude
  • Princeton University, A.B., cum laude, Politics

Admissions

Bars

  • New York

Awards and Associations

Super Lawyers: New York-Metro 2013-2015, 2017-2018

Lawdragon's 500 Leading Lawyers in America

Government Service

Senior Counsel, U.S. Securities and Exchange Commission, Division of Enforcement

Special Assistant U.S. Attorney, Office of the U.S. Attorney, Southern District of New York 

Clerkships

  • Hon. Sarah S. Vance, U.S. District Court: Eastern District of Louisiana