Andrew is a highly experienced financial services litigator, regulatory attorney, and compliance advisor to a wide array of financial services firms. His practice spans complex litigation and arbitrations, internal investigations, regulatory inquiries, employment matters, and compliance reviews.
Before returning to private practice in 2016, Andrew served as chief litigation counsel at the NYSE-listed RCS Capital Corporation, where he oversaw all litigation, investigations, regulatory inquiries, and related activities. Earlier in his career, he spent a decade at UBS in various roles. As deputy general counsel, head of retail litigation at UBS Financial Services, he had management responsibility for all litigation and arbitrations arising from the business activities of the U.S. broker-dealer/wealth management arm of UBS AG. He also served as senior counsel on a Zurich-based UBS team, reporting directly to the global general counsel, with responsibility for assessing the impact of emerging and immediate regulatory, legal, and ethical risks of strategic relevance to UBS's businesses worldwide.
Andrew was the New York office managing partner at McGonigle P.C., before the firm combined with Davis Wright Tremaine.
Practice Highlights
Securities litigation
Andrew represents and advises broker-dealers, investment advisors, investment banks, and asset managers and their executive management, boards, and employees in complex litigations and arbitrations.
Investigations
Andrew represents clients in a wide array of internal and governmental investigations and enforcement proceedings before the SEC, FINRA, CFTC, and state regulators.
In-house leadership
Andrew's approach to litigation and enforcement is informed by his long experience as an in-house legal leader for major financial services providers.
Selected Recent Experience
Employment
Enforcement
Admitted to Practice
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New York, 1990
Education
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J.D., Boston University School of Law, 1989, cum laude
- Articles Editor, Law Review
- Articles Editor, Law Review
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B.A., History, Hamilton College, 1985
Memberships & Affiliations
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- New York County Lawyers' Association
- New York County Lawyers' Association