Kirsten l. anderson, Esquire
Ms. Anderson has recently joined the Hevener Law firm as Of Counsel with a specialization in securities litigation and regulation.
As a former regulator with the Financial Industry Regulatory Authority (FINRA, formerly known as the NASD), Ms. Anderson’s practice focuses on both securities regulation and litigation. Ms. Anderson frequently represents members in the brokerage industry and other investment professionals, such as investment advisors, in regulatory investigations and enforcement actions before the SEC, FINRA and state regulators. Ms. Anderson also represents registered representatives and broker-dealers in FINRA arbitrations involving both customer claims as well as inter-industry disputes, including enforcement of promissory notes and other employment related issues. In addition, Ms. Anderson has successfully represented customers/claimants suing to recover investment losses in FINRA arbitrations.
Another aspect of Ms. Anderson’s practice is to provide advice/guidance to investment professionals with a particular emphasis on preventative compliance in an effort to help firms avoid customer complaints and/or regulatory issues. This advice often includes providing analysis/revisions and in some instances the drafting of a firm’s internal policies and procedures, such as Written Supervisory Procedures, to ensure they are compliant with both FINRA rules and regulations as well as Federal and State securities laws.
- James J. Hevener, a Professional Corporation - Of Counsel (January 2016 - present)
- Rosen and Associates, P.C. - Of Counsel (2004 - present)
- Loeb, Kosacz & Sunberg, LLP - Associate (2002 - 2004)
- Donahue, Mesereau & Leids - Associate (1999 - 2001)
- Financial Industry Regulatory Authority (FINRA) - Compliance Examiner (1996 - 1999)
education & PROFESSIONAL LICENSE
- Admitted to the California Bar - 1995
- University of Oregon School of Law - Juris Doctor
- University of San Diego - Bachelor's Degree (Political Science)