Derek C. Anderson concentrates his practice in the areas of securities litigation and regulation, complex commercial and business litigation, and professional liability litigation. He represents a wide variety of professionals, fiduciaries, and financial services clients, including national, regional, and independent broker-dealers and their registered representatives, banks, registered investment advisors and their representatives, pension advisory firms, attorneys, accountants, and corporate directors and officers in litigation and regulatory matters throughout the United States. His practice is devoted to litigation in federal and state court and arbitration of securities cases throughout the United States.
“Potential Claims Related to LJM Preservation and Growth Fund Collapse,” WSSLLP Alerts, August 1, 2018; “FINRA Regulatory Notice 18-13,” WSSLLP Alerts, May 2, 2018; “The Department of Labor’s Fiduciary Rule – White Paper,” WSSLLP Alerts, May 11, 2016; “Delaware Statutory Trusts: Will Due Diligence Issues Emerge in 2016?,” WSSLLP Alerts, December 4, 2015
FINRA’s New OBA Rule—Potential Benefits and Potential Issues, IBDC Conference, October 2018; Hot Topics in SEC Regulation, FSI Forum, September 2018; FINRA’s New OBA Rule—Potential Benefits and Potential Issues, FSI Webinar, May 2018; Peering into the Regulatory Crystal Ball, ADISA Spring Conference, April 2017; Litigation and Arbitration—Trends & Developments, SIFMA C&L Denver Regional Seminar, January 2017; Are you Committed to a Culture of Compliance? Understanding and Preparing for FINRA’s 2016 Priorities, FSI OneVoice, January 2016; Outside Business Activities and Selling Away—Best Practices to Avoid/Minimize Claims, FSI Webinar, October 2016; Emerging Litigation and Regulatory Trends, IBDC Conference, October 2016; Expungement—Developments and Considerations, IBDC Conference, October 2014; Product Selection—Balancing Due Diligence and a Competitive Product Offering, FSI OneVoice, January 2012; The New-Product Perspective: What’s ‘In Scope’ When Going to Market, FSI OneVoice, January 2011