Andrew M. Lawrence
SEC Enforcement and Compliance
Andrew M. Lawrence, counsel in the Securities Enforcement and Compliance Group of Skadden, represents a wide range of clients in investigations by the U.S. Securities and Exchange Commission (SEC), the U.S. Department of Justice (DOJ), other federal and state law enforcement agencies and the Financial Industry Regulatory Authority (FINRA).
Mr. Lawrence’s experience in securities-related matters includes the representation of corporations and their officers, directors and employees in investigations regarding financial reporting, disclosure, stock options backdating and insider trading matters. He also has represented broker-dealers and mutual fund complexes in SEC and other federal and state regulatory investigations related to trading, disclosure and market-timing matters. In addition, Mr. Lawrence regularly advises clients on securities law compliance issues.
Mr. Lawrence has conducted numerous internal investigations on behalf of U.S. and foreign public company boards and audit committees. In particular, Mr. Lawrence has represented several clients in connection with DOJ and SEC investigations related to the Foreign Corrupt Practices Act (FCPA), and he has extensive experience conducting global investigations for companies with issues arising under the FCPA. Mr. Lawrence has conducted investigations for clients involving FCPA-related issues in Africa, Asia, Europe, Latin America and the Middle East. He also regularly advises corporations regarding the development and enhancement of compliance structures and related policies and procedures designed to prevent and detect potential violations of law.
Mr. Lawrence’s representations have included:
- several public companies and audit committees in internal investigations, and related DOJ and SEC investigations, into potential violations of the FCPA;
- a global financial services firm in investigations by the SEC and FINRA of mutual fund sales and trading practices;
- a former officer of a major financial services firm in investigations by the SEC, state attorneys general and the DOJ regarding the sale of residential mortgage-backed securities;
- a technology company and the company’s audit committee in an SEC investigation of stock option granting practices;
- a global reinsurance company in the settlement of an SEC investigation into an alleged fraudulent accounting scheme by an entity that the company had acquired involving certain nontraditional insurance and reinsurance transactions;
- the chairman of the board of directors of an insurance company in an SEC investigation of compensation disclosure issues; and
- the general counsel of a technology company in investigations by the SEC and DOJ of alleged accounting fraud.
Prior to joining Skadden, Mr. Lawrence worked in the SEC Division of Enforcement, where he was responsible for investigating and prosecuting individuals and entities for alleged violations of the federal securities laws and SEC regulations.
Mr. Lawrence has written extensively on SEC enforcement and white collar criminal matters.
LL.M. (Securities and Financial Regulation), Georgetown University Law Center, 2004
J.D., Villanova University School of Law, 1999
B.A., Wake Forest University, 1996 (cum laude)
Senior Counsel, Division of Enforcement, U.S. Securities and Exchange Commission (2002-2004)
Staff Attorney, Division of Enforcement, U.S. Securities and Exchange Commission (1999-2002)
“SEC Enforcement Trends,” Enforcement 2013: Perspectives From Government Agencies, PLI, 2013
“Recent Cases Against Regulated Entities & Individuals,” Broker/Dealer Regulation and Enforcement, PLI, 2012
“Recent Developments in SEC Enforcement and Internal Investigations,” 44th Annual Institute on Securities Regulation, PLI, 2012
“The SEC Enforcement Process: Practice and Procedure in Handling an SEC Investigation,” BNA, 2011
“The United States Foreign Corrupt Practices Act: Enforcement Trends,” The Foreign Corrupt Practices Act, PLI, 2011
“Financial Crisis Fallout 2010: Emerging Trends,” Financial Crisis Fallout 2010, PLI, 2010
Contributing Author, Consumer Financial Services (Co-Author, Chapter 7 “Securities Laws”), Law Journal Press, 2008