Andrew Calamari

Practice Areas

• Government and Internal Investigations;

• SEC Enforcement Matters;

• Broker-Dealer and Investment Adviser Examinations and Investigations

Professional Memberships

• American Bar Association

Publications

• Complex Litigation (with J. Stengel), (PLI 1994 & Supp. 1998)

• "Litigation-An Overview" in 4 Securities Law Techniques (The Practitioner’s Guide to Transactions and Litigation) (Associate of Arts Sommers Education Matthew Bender,1995) (with J. Stengel and others)

Clients

• Appointed independent trustee and chair of the Special Litigation Committee for the Trust for Advised Portfolios, Infinity Q Diversified Alpha Fund, a liquidating mutual fund that sustained about half a billion dollars in losses as a result of alleged mismarking of positions by the Fund’s investment adviser.

• Court-appointed special master charged with overseeing the distribution and claims process with respect to the Infinity Q Diversified Alpha Fund’s assets.

• Represents several investment banks and investment advisors.

Work Highlights

As former director of the SEC’s New York Office, Andy brings wide ranging experience to his representation of senior executives of large public companies in SEC investigations, and registered investment advisers and broker-dealers in SEC investigations and examinations.

He also represents public company auditors in SEC and PCAOB investigations. Well known among SEC practitioners, Andy has been called upon to serve in fiduciary capacities as an independent trustee, court-appointed special master, and compliance consultant. Among other matters, he has:

• Successfully persuaded the SEC staff to decline a case against the CFO of a public company after the staff had expressed its intention to issue a Wells notice in an investigation of alleged accounting fraud at the public company.

• Persuaded the SEC staff to decline proposed charges against a former CEO after the staff had issued a Wells notice in an investigation of alleged Regulation FD violations.

• Persuaded the SEC and DOJ not to charge our client, a principal bonds trader, in an investigation of market manipulation in the high yield fixed income market.

Andy currently serves as FDH's General Counsel and as a member of the firm's Management Committee.

Education

Awards