Areas of Practice
Securities Law
Education
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
Professional Affiliations
SIFMA -- Law and Compliance Division
ABA Securities Litigation Committee's Subcommittee on Self-Regulatory Organizations, Co-Chair
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Andrew W. Sidman Member
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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:
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Represented broker-dealer in internal investigation and regulatory investigations concerning embezzlement of trust funds by clients and financial advisor.
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Represented senior officials of broker-dealer in regulatory investigations concerning sales of auction rate securities.
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Represented brokerage firm and senior officer in cases involving sales of structured products.
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Represented broker-dealer in investigation of short-selling practices.
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Represented broker-dealer in internal and external investigations of policies and practices concerning entertainment of and gifts to customers.
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Conducted analysis of broker-dealer’s Compliance Department policies and procedures, identified potential gaps and risks and recommended enhancements.
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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.
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Represented broker-dealer in investigation of firm-wide policies and practices with respect to supervision of emails.
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Represented broker-dealer and regional and branch managers in investigation concerning commission charges in a branch office, and throughout the firm.
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Represented senior firm officials in investigations relating to mutual fund market-timing by financial advisors.
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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.
News & Events
Firm Announcements
Andrew Sidman to Speak at the 2010 SIFMA Compliance and Legal Annual Conference
Three Bressler, Amery & Ross Attorneys Selected as 2010 Corporate Counsel Super Lawyers
Andrew W. Sidman Installed as a Co-Chair of the ABA Securities Litigation Committee's Subcommittee on Self-Regulatory Organizations
Four Bressler, Amery & Ross Attorneys Selected as 2009 Corporate Counsel Super Lawyers
Three Bressler, Amery & Ross Attorneys Selected as 2008 New York Super Lawyers
Four Bressler, Amery & Ross Attorneys Selected as 2007 New York Super Lawyers, Metro Edition
Four Bressler, Amery & Ross Attorneys Selected as 2006 New York Super Lawyers, Metro Edition
Bressler, Amery & Ross Welcomes Andrew W. Sidman as Partner Specializing in Securities Law to New York Office
Speaking Engagements
2010 SIFMA Compliance and Legal Annual Conference Securities Industry and Financial Markets Association – Compliance and Law Division (SIFMA-CL) Annual Seminars, 2007 and 2008: Regulatory Exams from the Firms' Perspective. Presentation to Client Lawyers: Conducting Internal Investigations and Managing Ethical Issues, July 2009 Presentation to Client Branch Office Managers: How To Reduce The Risk Of Becoming Involved In A Regulatory Investigation, December 2006Alerts
Securities Law AlertSEC Announces Policy Statement Concerning Cooperation by Individuals
Securities Law AlertHighlights From SIFMA Compliance And Legal Seminar, New York City, November 18, 2009
Securities Law AlertFINRA Fines Firm $1.2 Million For Email Review Failures
Securities Law AlertFINRA Issues Proposed New Rules Governing Communications With The Public And Issues Interpretive Guidance To Forms U4 And U5