Strategic Advocate. Visionary Leader. Proven Problem-Solver.

About Mr. K. Braeden Anderson, Sr.

Mr. Anderson, a distinguished alumnus of Kirkland & Ellis and Sidley Austin in New York City and Washington, D.C., is an impeccably well-trained attorney specializing in securities law, regulatory compliance, and enforcement. With a proven record of representing some of the world’s largest corporations, leading Wall Street firms, and high-profile individuals, he has successfully guided clients through complex disputes, internal investigations, government inquiries, and enforcement actions.

In addition to his expertise in regulatory matters, Mr. Anderson brings invaluable insight into fast-evolving sectors such as fintech, start-ups, and cryptocurrency. Drawing on his experience as General Counsel to over a dozen start-ups and a private equity firm, he provides strategic counsel on corporate governance, capital-raising, tokenization, and innovative structuring. With a deep understanding of emerging technologies and capital markets, he empowers clients to navigate dynamic legal landscapes with confidence and precision.

Prior to entering law practice, he played Division 1 college basketball for the Seton Hall Pirates, during which time his team won the Big East Conference Championship while he was attending law school.

Practice Focus

Securities Enforcement and Government Investigations

Mr. Anderson has led and supported investigations and enforcement actions initiated by federal and state regulators, including the SEC, DOJ, FINRA, and Congressional committees. His work spans allegations of securities fraud, insider trading, corporate governance breaches, and market manipulation, often involving complex compliance and disclosure matters.

Representative matters include:

• SEC Investigation into Financial Disclosures: Supported the defense of a public company by analyzing documents, identifying key communications, and contributing to strategic responses to regulatory requests.

• Public Company Securities Fraud Allegation
  SEC and DOJ investigation concerning allegations of securities fraud involving a major public company, focusing on fraudulent financial practices and related party transactions.

• Internal Embezzlement Investigation for an NFL Team
  Internal investigation into a significant embezzlement scheme within a prominent NFL team, conducting a comprehensive audit and implementing corrective measures.

• DOJ Investigation into Bank Lending Practices
  DOJ investigation into lending practices at a regional bank, navigating regulatory requirements and addressing potential violations.

• Congressional Inquiry into NFL Business Practices
  Congressional investigation into business practices within a major professional football league, coordinating with legislative committees and ensuring transparency.

• Municipal Securities Trading SEC Investigation
  Led defense of an SEC investigation into municipal securities trading by a global financial institution, focusing on regulatory compliance and trading practices.

• Internal Offshore Reinsurance Investigation
  Led internal investigation into disclosure practices and offshore reinsurance activities for a multinational corporation, assessing international regulatory compliance.

• Joint SEC-FINRA Inquiry into Market Volatility
  Coordinated regulatory inquiry brought by multiple government agencies against a Wall Street bank regarding their trading practices and response to market volatility.

• SEC Inquiry into Insider Trading
  SEC inquiry into insider trading involving a large financial institution, implementing a comprehensive risk mitigation strategy and engaging with regulators to reach a favorable resolution.

• Cross-Border Compliance Investigation: Conducted internal investigation related to international transactions and governance practices for a multinational corporation facing regulatory scrutiny - and defended the business through a myriad of parallel government inquiries.

• Representation of a Major Financial Institution: Assisted in regulatory filings addressing a disqualification event, including analyzing financial disclosures and crafting a strategic response to ensure compliance.

• SEC Defense of a Global Automotive Corporation: Led multi-level investigative review for an SEC investigation into financial disclosures, focusing on future liability estimates and internal controls.

• Resolution of a FINRA Investigation: Developed a comprehensive defense strategy for an investment firm, including preparing witnesses for testimony and ensuring compliance with regulatory disclosure obligations - and negotiated a favorable resolution.

Internal Investigations and Corporate Governance

Mr. Anderson has advised boards, audit committees, and special committees on governance structures, compliance frameworks, and responses to internal allegations. His expertise extends to conducting internal investigations into corporate misconduct, governance breakdowns, and financial reporting issues.

Representative matters include:

• Internal Investigation for a Publicly Listed Electric Car Company: Conducted a comprehensive review of governance practices, related party transactions, and other issues, drafting detailed reports and recommendations for corrective actions.

• Investigation for a Publicly Listed Financial Services Company: Led a massive effort which involved analyzing tens of thousands of documents and communications concerning reinsurance operations, prepared interview outlines, conducted witness interviews, and drafted final investigation findings.

• Misconduct Investigation for a Publicly Listed Pharmaceutical Company: Led fact development and reporting in connection with employee misconduct allegations, delivering actionable recommendations for governance enhancements.

Corporate, Fintech, Blockchain, and Emerging Markets

In the rapidly evolving sectors of cryptocurrency, blockchain, and digital assets, Mr. Anderson provides cutting-edge counsel on tokenization, digital asset compliance, and regulatory risk mitigation.

Representative matters include:

• Policy Revision for Broker-Dealer: Drafted and revised written supervisory procedures for compliance with FINRA regulations in connection with crypto-related activities.

• Advisory for a Digital Asset Platform: Updated customer agreements to address the risks and regulatory considerations of trading security and non-security tokens.

• Strategic Analysis for a Crypto Lending Platform: Advised client on a strategy for an innovative lending product to avoid risk related to federal securities laws.

• Digital Asset Compliance for a Blockchain Firm: Advised on regulatory frameworks for digital assets, including drafting policies to align with SEC and FINRA guidance.

• Token Offering Strategy for a Fintech Platform: Led process for token offerings and developed strategies to comply with SEC no-action letters and investment contract analysis.

• Blockchain M&A Deal: Revised and added provisions to agreements ensuring regulatory compliance with securities laws in connection with an acquisition.

  Some matters occurred outside of Anderson P.C.

Pro Bono Work

• Advocacy for a Domestic Violence Survivor: Represented a pro bono client in securing immigration relief through U Nonimmigrant status, conducting interviews, preparing filings, and coordinating with advocacy organizations.