Sidman, Andrew W.

  New York, New York, USA
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J.D., American University, 1977

B.A., with Honors, Colgate University, 1974

Bar Admissions

New York, 1978

District of Columbia, 1978

Court Admissions

U.S. District Court, Southern District of New York, 1983

U.S. District Court, Eastern District of New York, 1983

Mr. Sidman heads the firm’s securities regulatory defense practice.  He represents clients in investigations and disciplinary proceedings by the Securities and Exchange Commission, FINRA and other self-regulatory organizations and state regulators.  He also conducts internal investigations and internal reviews of clients’ policies and procedures.  An important focus of his practice is counseling clients on best practices for conducting business in compliance with applicable law and in a manner that reduces the likelihood of litigation and regulatory investigations.  In addition, Mr. Sidman has extensive arbitration and litigation experience. 

Examples of the types of matters that Mr. Sidman recently has handled for clients include the following:

  • Represented broker-dealer in internal investigation and regulatory investigations concerning embezzlement of trust funds by clients and financial advisor.
  • Represented senior officials of broker-dealer in regulatory investigations concerning sales of auction rate securities.
  • Represented brokerage firm and senior officer in cases involving sales of structured products.
  • Represented broker-dealer in investigation of short-selling practices.
  • Represented broker-dealer in internal and external investigations of policies and practices concerning entertainment of and gifts to customers.
  • Conducted analysis of broker-dealer’s Compliance Department policies and procedures, identified potential gaps and risks and recommended enhancements.
  • Represented equity trader in investigation concerning transactions at or near the close in connection with firm’s facilitation of customers which held an equity that was migrating between indices.
  • Represented broker-dealer in investigation of firm-wide policies and practices with respect to supervision of emails.
  • Represented broker-dealer and regional and branch managers in investigation concerning commission charges in a branch office, and throughout the firm.
  • Represented senior firm officials in investigations relating to mutual fund market-timing by financial advisors.
  • Represented numerous managers and financial advisors in a wide range of supervision and sales practice investigations.

Mr. Sidman speaks on various securities industry panels, and assists clients in training lawyers and business personnel.  He has been recognized by his peers as one of the New York Area’s Best Lawyers and a Super Lawyer.

Mr. Sidman began his legal career in the SEC’s Office of the General Counsel in Washington, D.C.  After leaving the SEC, and before joining the firm, he headed the securities industry defense practice at the law firm of Butler, Fitzgerald & Potter.

Mr. Sidman serves on the firm’s Executive and Diversity Committees.

Practice Area
Securities Law