BRAEDEN ANDERSON is the Principal Attorney at Anderson P.C. in Washington, D.C. Braeden focuses his practice on regulatory enforcement actions and government investigations involving securities. Braeden regularly counsels 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), other Self-Regulatory Organizations (SROs), and various other federal and state financial regulators.

Prior to founding Anderson P.C., Braeden worked at Sidley Austin LLP and Kirkland & Ellis in attorney positions and at FINRA in their New York office as an enforcement extern.

In addition to his legal efforts, Braeden also served as an adjunct professor of business law at Monroe College in the Bronx, New York, and served as Chairman of the Corporate Law Section of the Metropolitan Black Bar Association (MBBA). Prior to entering law practice, Braeden played basketball for the Seton Hall Pirates where he won the Big East Conference Championship while attending law school.

REPRESENTATIVE MATTERS

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

PRO BONO

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.

MEMBERSHIPS AND ACTIVITIES

• Chairman 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

ADMISSIONS & CERTIFICATIONS

• New York
• D.C.

EDUCATION

• Seton Hall University School of Law, J.D., 2018
• California State University, B.S., 2015