Attorney Profiles

As the Chair of the Securities & Investments Practice Group, Andrew, in addition to handling cases and securities clients, coordinates and oversees the activities of a dedicated group of lawyers throughout the firm's offices. Andrew has successfully represented investment firms, professionals, RIAs, financial planners and insurance agents in matters involving business disputes, customer complaints, regulatory inquiries/ investigations, mediations, arbitrations and litigation. He has significant experience representing clients in various forums including litigation, arbitration, mediation, internal investigations, regulatory examinations and investigations.

Andrew and his group members represent the interests of FINRA member broker-dealers, Registered Representatives, CFPs, RIAs, insurance agents and brokers and other securities and insurance industry professionals throughout the United States. As well, he is called upon by investment firms to conduct investigations and conduct seminars and presentations on timely business and investment topics. This team also counsels and represents brokers and firms on employment issues and litigation.

Andrew's background includes licensure as an insurance agent in the states of Pennsylvania and New Jersey, licensure as a real estate agent in Pennsylvania, and licensed with various states and with FINRA as a Registered Representative. He has experience as a broker with FINRA and New York Stock Exchange member investment firms as well as an independent FINRA member broker-dealer.
In addition to his Series 63 and Series 7 licensure, he was licensed as an Associated Registered Investment Adviser. Andrew's work background also includes his position as Professional Liability Specialist with a major insurance company handling professional liability matters such as accountant malpractice, tax-shelter/limited partnership matters and miscellaneous professional liability litigation (directors and officers, legal malpractice, coverage).

As a lecturer and guest speaker, Andrew has made presentations for various organizations and broker-dealers in relation to securities business and practices, directors and officers and investment related matters. He has also authored numerous articles for brokerage firms, Delaware Valley Society of Financial Planners, The Defense Digest and other publications. He also serves as a securities arbitrator for FINRA and previously served on the Board of Directors for the Delaware Valley Society of the FPA which services New Jersey, Delaware and Pennsylvania. He has served as outside counsel to the Delaware Valley Society of the FPA.

Andrew graduated from Mansfield University in 1980 and completed his Juris Doctorate in 1987 at the University of Baltimore School of Law.