Andrew E. Goldstein, is an expert in securities regulation and a specialist in hedge fund law, the Securities Exchange Commission and other regulatory enforcement matters . His proficiency was honed as an SEC enforcement attorney while serving as an SEC official handling significant matters during the 1970's and 1980's.
Andrew E. Goldstein has practiced securities law in the private and public sectors for more than 30 years. He specializes in the formation and ongoing representation of private investment funds, including hedge funds, private equity funds and similarly-managed investment vehicles. He represents domestic and off-shore funds and their sponsors in connection with fund formation and structuring, private placements, operational and regulatory matters. Mr. Goldstein's practice includes the representation of broker-dealers, investment advisers, commodity pool operators and commodity trading advisors in connection with their formation and operations. He also has an extensive enforcement background and represents regulated and unregulated clients in enforcement and regulatory investigations and litigation before the Securities and Exchange Commission and various self-regulatory organizations. In addition to his private fund practice, Mr. Goldstein represents both start-up and established businesses in the capital formation process.
In addition to his own firm, Mr. Goldstein is Counsel to Phillips Nizer LLP in New York City. Prior to that, he was Counsel to DLA Piper LLP, in New York. Mr. Goldstein is also a Senior Consultant to Securities Compliance Advisors, LLC, a regulatory compliance firm providing compliance and registration products and services to broker-dealers, traditional investment advisers, and hedgefund and private equity managers.
Before entering private practice, Mr. Goldstein was an attorney in the SEC's Division of Enforcement in a succession of positions with increasing responsibilities that culminated in his service as Associate Regional Administrator of the SEC's New York Regional Office. During that tenure, he had oversight of the enforcement program of the New York Regional Office. While at the SEC, Mr. Goldstein litigated the SEC's first enforcement matters involving repurchase agreements and stock loans, and initiated an SEC enforcement program in the "pink sheet" over-the-counter market. At the SEC, in private practice and public service, Mr. Goldstein has had continuous hands-on experience in the enforcement processes that extend to both the investigative and litigation phases of such matters.
Mr. Goldstein is the Chairman of the Zoning Board of Appeals of the Village of East Hampton, NY on which he has served for ten years. He is a founding board member of the East Hampton Healthcare Foundation, on the board of environmental watchdog organization, The Group for the East End, and is Chairman of The East Hampton Village Preservation Society. He earned his law degree from Brooklyn Law School, where he was a member of the Law Review. He earned Bachelor and Master of Arts degrees in History from Adelphi University.
Today, Mr. Goldstein's comprehensive knowledge supports an expansive practice in areas including: Corporate; Securities; Commodities; Hedge Funds; Financial Services Law; Broker-Dealer Regulation; Regulatory Litigation.
1975, New York, U.S. District Court, Southern District of New York and U.S. Court of Appeals, Second Circuit; 1977, U.S. District Court, Northern District of New York; 1986, U.S. Tax Court; U.S. District Court, Eastern District of New York; 2008 Supreme Court of Colorado.
Brooklyn Law School, J.D., 1974
Adelphi University (B.A., 1968; M.A., 1970)
The Association of the City of the Bar of New York
American Bar Association.
Member, Brooklyn Law Review, 1971-1974.
Lecturer, Private Real Estate Limited Partnerships, New York Law Journal Seminars, 1981.
Attorney, United States Securities and Exchange Commission, 1975-1984.
Associate Regional Administrator, 1983-1984, New York Regional Office.
Member, 1998-2000 and Chairman, 2000-present, Village of East Hampton Zoning Board of Appeals.
Board Member, East Hampton Healthcare Foundation
Board Member, Group for the East End
Board Member and Chair, East Hampton Village Preservation Society