Andrew focuses his practice on alternative forms of dispute resolution in the securities industry, and he has done so for more than 25 years across more than 600 such matters. Most of the disputes he handles proceed in FINRA (formerly NASD and NYSE) or AAA arbitration. He represents clients nationwide in disputes and transactions in wealth management (registered investment advisors and broker-dealers) involving the following:

• Recruiting & transitions from one firm to another;
• Investment and advisory misconduct and operational issues;
• Employment claims;
• Regulatory inquiries and enforcement proceedings; and
• Central Registration Depository system/U4 and U5 reporting and expungement.

Andrew is an independent advocate – he represents individuals and entities, claimants and respondents. He worked for years as an in-house arbitration attorney for a major financial services firm. While in- house, he worked on matters all over the country in all three of the firm’s channels – traditional wirehouse, independent, and bank distribution – as well as the firm’s own clearing firm. While he now often defends clients against claims, on a selective basis he represents individuals pursuing claims for securities fraud, sales practice violations, and other misconduct.

He is careful to listen to, and seek to achieve, what matters most to his clients. Through arbitration trials/hearings and negotiated settlements, he works closely with his clients to deliberately and strategically seek to identify and achieve the client’s own objective, including at times the recovery of life-changing sums.

Andrew graduated with high honors from the University of Kentucky College of Law in 1995. After law school, he served as a judicial law clerk for Judge Joseph M. Hood of the United States District Court for the Eastern District of Kentucky. Andrew and his spouse Kate, who is a physical therapist, have two now-grown children and have lived in an old Richmond streetcar neighborhood since 1997.