We are pleased to announce that Scott Andersen has joined FundAmerica as General Counsel. His last day at FINRA was yesterday, and he’s already digging in to review/edit our existing forms and processes, as well as helping plan and craft our upcoming services (payment processing, confirming investor accreditation, carrying accounts, trading, etc). He will be working out of our NYC offices and we are excited to have him on the team and adding even more depth to our securities compliance expertise (yeah, that really does excite us, we’re twisted that way).
A little more about Scott:
Mr. Andersen is General Counsel at FundAmerica Technologies, a FinTech provider of compliance services to crowdfunding portals. From March 2012 to February 2015 he was deputy regional chief counsel at the Financial Industry Regulatory Authority (FINRA) in Los Angeles, where he oversaw FINRA enforcement cases and managed the western region’s attorneys. He has deep experience with regulatory investigations and enforcement actions and has led complex criminal and civil prosecutions for the New York State Attorney General’s office, the New York Stock Exchange and FINRA. This includes countless standard regulatory matters involving marketing materials, inadequate disclosures, failure to supervise and other issues, as well as significant actions involving securities fraud, illegal stock distributions, insider trading, research analyst’s 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 being the enforcement director for FINRA in New York from 2007 to 2012; the enforcement director for the New York Stock Exchange from 2004 to 2007; trial counsel/senior special counsel of the NYSE from 2003 to 2004; co-chief of the Securities Prosecutions Unit, Bureau of Investor Protection and Securities, Office of the New York State Attorney General from 1999 to 2003; and Assistant Attorney General of the State of New York from 1995 to 1999.
He is available as a resource for any of our portal customers and their attorney’s at any time. His email is email@example.com.
We’re continuing to grow, and I love the team we’re building here!