K. Braeden Anderson
- Securities Enforcement and Regulatory
BRAEDEN ANDERSON is an associate in Sidley’s Securities Enforcement and Regulatory group, which received the 2019 Chambers USA Award for Financial Services Regulation, and was named the “Law Firm of the Year” for Securities Regulation in 2020 and 2017 by U.S. News – Best Lawyers. He focuses his practice on general regulatory enforcement defense and government investigations. Braeden regularly assists with the representation of financial institutions, investment advisers, public companies and senior officers in connection with investigations (as well as defense of investigations) generally initiated by the U.S. Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), the Federal Bureau of Investigation (FBI), the New York State Attorney General (NYAG) and other Self-Regulatory Organizations (SROs) and various other federal and state financial regulators.
Prior to joining Sidley, Braeden worked at FINRA in their New York office as an enforcement extern. While at FINRA, Braeden assisted in the legal investigations of Initial Coin Offerings (ICOs) and unregistered securities offerings, and performed legal research and writing regarding suitability, excessive trading, fraud, inadequate supervision and various other areas of enforcement regarding broker-dealers, financial advisors and other registered representatives.
In addition to his legal efforts, Braeden also serves as an adjunct professor of business law at Monroe College in the Bronx, New York. Furthermore, while attending law school, Braeden played college basketball for the Seton Hall Pirates where he won the Big East Conference Championship in 2016.
Experience
- Representative Matters
- Pro Bono
- Memberships and Activities
Braeden’s recent representative matters include representation of:
- A global financial institution in connection with an SEC investigation concerning its municipal securities trading business
- A global public company in an SEC investigation regarding disclosures concerning incurred but not reported (IBNR) claims
- A global financial institution in connection with an SEC inquiry regarding its private banking business
- A global insurance company in an internal investigation regarding its off-shore reinsurance business
- A key executive in an SEC investigation concerning statements made during the negotiation process of certain retirement plans
- A national broker-dealer in a FINRA investigation concerning Form U4 and U5 disclosures and written supervisory policies and procedures concerning such disclosures, resulting in no disciplinary action
- A large insurance company in connection with an SEC investigation concerning their algorithmic securities trading system
- A global broker-dealer in connection with a successful FINRA MC-400A membership continuance filing in response to a disqualification event
Braeden maintains an active pro bono practice, including representation of a large charity organization in connection with an amicus brief regarding the citizenship question on the census. He also represented a domestic violence victim in connection with her successful petition for U nonimmigrant status and a fee waiver.
- Secretary of the Corporate Law Section of the Metropolitan Black Bar Association
- Member of the New York State Bar Association
- Member of the New York City Bar Association
- Member of the American Bar Association
Capabilities
- Securities Enforcement and Regulatory
- Blockchain
- Broker-Dealer Litigation and Arbitration
- Business Transactions Involving Financial Institutions
- Consumer and Other Financial Services Litigation and Enforcement
- Financial Reporting and Disclosures
- Fintech
- Hedge Funds
- Insider Trading
- Internal Investigations
- Investment Advisers and Mutual Funds
News & Insights
Credentials
Admissions & Certifications
- New York
Education
- Seton Hall University School of Law, J.D., 2018
- California State University, B.S., 2015