Awards and Recognition

• Peer review rated as AV Preeminent®, the highest performance rating in the Martindale-Hubbell® Peer Review Ratings™ system
• Named a “Leading Lawyer” in Securities and Corporate Governance by the Legal Times
• Named to the BTI Client Service All-Star Team, who Corporate Counsel identified as providing outstanding client service
• Selected by his peers for inclusion in The Best Lawyers in America© in the fields of Litigation – Securities (2011-2024), Securities/Capital Markets Law (2006-2024) and Securities Regulation (2011-2024)
• Named the Best Lawyers® 2015 and 2020 Securities/Capital Markets Law “Lawyer of the Year” and the 2017 and 2022 Litigation – Securities “Lawyer of the Year” in Washington, D.C.
• Rated to be one of the top securities regulation attorneys in the nation by Chambers USA for 2009-2023, and one of the top regionally in the District of Columbia for 2007, 2008 and 2009
• Selected for inclusion in the Washington, D.C. Super Lawyers® lists from 2008-2017

Affiliations

• Member, CCH Securities Regulation Advisory Board
• Member, American Bar Association (Broker-Dealer Subcommittee of the Securities Litigation Committee, Market Regulation Subcommittee of the Committee on Federal Regulation of Securities)
• Member, Securities Industries and Financial Markets Association (Legal and Compliance Section)

Presentations and Publications

A former staff attorney and special counsel with the Securities and Exchange Commission’s Division of Enforcement, Sandy is a frequent speaker and has authored various publications on the defense of SEC investigations and topical issues under the federal securities laws, including:

• Co-author: “Treatise: Securities Enforcement: Counsel and Defense,” Lexis-Nexis (September 2023)
• Editor: “Audit Committee Deskbook,” Practising Law Institute (2022)
• Co-author: “SEC Adopts Final Rules Mandating Compensation Clawback Policies,” Insights, The Corpoate and Securities Law Advisor, vol. 36, no. 12 (December 2022)
• Co-author: “Preparing to Meet with the Government Following a Whistleblower’s Report,” BNA Insights, Vol. 43, No. 35, p. 1790 (August 2011)
• Co-author: “A New Burr Under the SEC’s Saddle: Changing Standards for SEC Enforcement Remedies,” BNA Insights, Vol. 21, No. 7 (July 2007)
• Co-author: “Research Analyst Conflicts of Interest: Implementing the Rules,” Journal of Investment Compliance, Vol. 4, No. 4, p. 82 (Spring 2004)
• Co-author: “SEC Enforcement Investigation: What You Need to Know,” ACC Docket, Vol. 21, No. 10 (November/December 2003)
• Author: “Should I Stay or Should I Go? Deciding Whether to Serve on the Board of a Public Company,” D&O Advisor(Fall 2003)
• Co-author: “Preliminary Steps to Establishing Research Analyst Independence,” Journal of Investment Compliance, Vol. 4, No. 1, p. 13 (Summer 2003)
• Co-author: “What Directors Should Know about SEC Enforcement Investigations,” The Corporate Governance Advisor, Vol. 10, No. 1 (January/February 2002)
• Co-author: “Questions You Are Likely to Be Asked When Your Corporation Becomes the Subject of an SEC Enforcement Inquiry,” BNA Corporate Practice Series (2001)
• Co-author: “Effective Representation in the SEC Wells Process,” The Review of Securities & Commodities Regulation Vol. 34, No. 6 (Standard & Poor’s, March 28, 2001)
• Co-author: “Responding to an Inquiry from the SEC Division of Enforcement,” BNA Corporate Practice Series(1998)
• Co-author: “Defending the Insider Trading Probe,” The Practical Lawyer (September 1995)
• Author: “Reducing the Liability Exposure of Derivatives Dealers,” The Review of Securities and Commodities Regulation, Vol. 27, No. 22 (Standard & Poor’s December 21, 1994)
• Co-author: “Ex Parte Contacts with Officers and Employees in SEC Investigations,” 8 Insights: The Corporate and Securities Law Advisor 13 (Prentice Hall Law and Business, November 1994)
• Co-author: “When the SEC Comes Calling: A Step-by-Step Guide by Former Enforcers,” 3 Business Law Today 13 (ABA July/August 1994), reprinted in Bowne Digest, Vol. 8, No. 10, p.5 (October 1994)
• Co-author: “Prompt Action Taken in Response to SEC Investigation May Ease Impact of Potentially Long, Burdensome Process,” 9 BNA’s Corporate Counsel Weekly 8 (February 2, 1994)
• Co-author: “Anticipating and Responding to an Inquiry by the SEC Enforcement Division’s Working Group on Insurance Companies,” 14 Insurance Litigation Reporter 581 (Shephard’s, December 1992)