Andrew Adams
Counsel at Norton Rose Fulbright
Based in St. Louis, United States
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Seniority
Director
Department
Legal
Location
St. Louis
Industry
Law Practice
Company size
8.9K
Contact information
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a•••••••@nortonrosefulbright.com
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Background
About Andrew Adams
Attorney with a practice focused on representing broker-dealers, registered investment advisers, insurance companies, international banks, and other financial services institutions in securities litigation and regulatory matters. Extensive experience responding to regulatory investigations and other inquiries initiated by the Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), the Internal Revenue Service (IRS), and state regulatory authorities. Represents financial services clients in customer disputes adjudicated by arbitration panels and in state courts. Provides guidance regarding federal and state compliance issues to broker-dealers and registered investment advisers.
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