Andrew M. Lawrence represents a wide range of clients in investigations by the U.S. Securities and Exchange Commission (SEC), the U.S. Department of Justice (DOJ) and other federal and state law enforcement agencies, the Public Company Accounting Oversight Board (PCAOB) and the Financial Industry Regulatory Authority (FINRA).
Lawrence’s experience in securities-related matters includes the representation of corporations and their officers, directors and employees in investigations regarding accounting and financial reporting, disclosure, insider trading and corruption matters. He also represents broker-dealers and mutual fund complexes in SEC and other federal and state regulatory investigations related to trading, sales practices and disclosure matters.
Lawdragon Honors
| Honor | Year | Practice |
|---|---|---|
| The 2026 Lawdragon 500 Leading Global Investigations Lawyers | 2026 | Enforcement; White Collar, Investigations, Securities & Commodities |
Lawrence regularly conducts internal investigations on behalf of senior management, audit committees and boards of directors. In addition, he advises clients on SEC financial reporting, disclosure, compliance and corporate governance requirements, as well as on the development and enhancement of compliance structures and related policies and procedures designed to prevent and detect potential violations of law.
Lawrence’s representations include:
Accounting and Financial Disclosures
- a pharmaceutical company in connection with an SEC investigation relating to various disclosure and accounting and internal controls issues
- a leading fashion retailer in an internal investigation regarding the company’s inventory reporting and related accounting and internal controls issues. Lawrence also represented the company in a related SEC investigation
- a real estate investment trust in an SEC investigation focused on the company’s disclosures, financial accounting and valuation in connection with certain commercial real estate sales transactions
- the chairman of the board of directors of an insurance company in an SEC investigation pertaining to compensation disclosure issues
- the general counsel of a technology company in investigations by the SEC and DOJ pertaining to revenue recognition and disclosure issues
Cryptocurrencies and Digital Assets
- various companies in SEC and state regulatory investigations, including those involving major digital asset platforms, exchanges and protocols, and issuers of tokens and stablecoins
Cybersecurity Issues and Related Disclosures
- an audit firm in an SEC investigation pertaining to issues related to a cybersecurity breach of an audit client
- several companies in SEC investigations pertaining to disclosures related to cybersecurity breaches
Financial Services
- a global financial services firm in investigations by the SEC and FINRA into 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
Anti-Corruption
- a leading vehicle manufacturer in internal investigations into potential corruption in Africa, Asia, Europe and South America, as well as in related DOJ and SEC Foreign Corrupt Practices Act (FCPA) investigations
- an industrial services company in FCPA investigations by the DOJ and SEC related to matters in Brazil