Biography

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.

Alerts

• “Enforcement of Massachusetts Fiduciary Rule Just Kicked In,” WSSLLP Alert, September 8, 2020
• “Potential Claims Related to LJM Preservation and Growth Fund Collapse,” WSSLLP Alert, August 1, 2018
• “Delaware Statutory Trusts: Will Due Diligence Issues Emerge in 2016?,” WSSLLP Alert, December 4, 2015

Seminars

• REG BI – How Is It Being Enforced, CNA, October 2023
  
• Making the Shift from the Departments of Labor’s Fiduciary Rule to SEC Regulation Best Interest, FSI OneVoice, January 2019
• 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

Publications

• “Department of Labor’s Fiduciary Rule,” PLUS Journal, July 2016

Associated Posts

• Massachusetts Supreme Judicial Court Expands Duty of Broker-Dealer Firms Beyond Regulation BI to Now Include Fiduciary Standard
• FINRA Files Proposed Rule Changes to Code of Arbitration Procedure
• FINRA Files Proposed Rule Change to Make Arbitrator Selection Process More Transparent
• Derek C. Anderson to Participate in IBDC-RIAC Webinar
• FINRA Issues Proposed Rule Change To End Mandatory Arbitration of Sexual Harassment Claims
• WSS Wins Coast to Coast Arbitrations in Two Separate Matters Within Weeks of Each Other
• Winget, Spadafora & Schwartzberg, LLP Promotes New Partners
• WSSLLP’s Colorado Office Wins Rare FINRA Rule 12206 Eligibility Motion Dismissing Arbitration of Claims Related to GPB
• WSSLLP Speaking at 2021 IBDC Risk Management Conference
• Potential Claims Related to LJM Preservation and Growth Fund Collapse
• Potential Claims Related to Future Income Payments
• FINRA Implements New Outside Business Activity Rule
• FINRA Regulatory Notice 18-13
• Department of Labor – Fiduciary Rule UPDATE