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Andrew Edwin Porter

Fax +1.202.779.9100

Mr. Porter is a partner in the firm’s Washington, D.C. office. He focuses his practice on government enforcement and internal investigations. He represents clients in matters before the Securities and Exchange Commission (SEC), the Commodity Futures Trading Commission (CFTC), the Department of Justice (DOJ), the Office of the Comptroller of the Currency (OCC), the Federal Energy Regulatory Commission (FERC), the Financial Industry Regulatory Authority (FINRA) and other regulatory entities. He also is experienced in conducting internal investigations on behalf of public and privately held companies and financial institutions.

Some of his more significant representations include:

  • Defended banks, broker-dealers, investment advisers, other financial institutions, companies and individuals with respect to SEC examinations and investigations involving various issues, including: suitability, improper mark-ups, supervisory concerns, conflicts of interest, fraud and disclosures.
  • Represented clients in regulatory investigations concerning issues related to material, nonpublic information (MNPI), including: insider trading, adequacy of information barriers, failure to protect MNPI, and effectiveness of related policies and procedures.
  • Represented major financial institutions in various investigations by various regulatory agencies concerning mortgage origination, servicing, and foreclosure practices and mortgage-backed securities.
  • Defended energy companies and officers in regulatory investigations into allegations of market manipulation and improper market activity.
  • Represented broker-dealer seeking to associate with an individual who had been statutorily disqualified from employment in the regulated financial industry.
  • Defended a former officer of a large public company in an investigation involving allegations of accounting fraud.
  • Conducted internal investigations on behalf of clients regarding mortgage and bankruptcy servicing practices and vendor payment issues.
  • Investigated allegations of improper securities trading by company employees in violation of company policies.
  • Conducted an investigation on behalf of a financial institution into concerns about Anti-Money Laundering (AML) procedures.