Andrew Farrington

Public and Private Companies

• A publicly traded e-commerce company in an SEC investigation concerning allegations of accounting fraud, insider trading and undisclosed related-party transactions made in a high-profile short seller report.
• A publicly traded chemical and materials company in an SEC inquiry concerning the calculation and disclosure of certain financial metrics.
• A publicly traded cybersecurity technology company in parallel DOJ and SEC investigations concerning revenue recognition practices related to certain high value deals.
• A publicly traded financial services company in an internal investigation concerning compliance with certain FTC rules related to consumer financial information.
• A major industrial equipment company in an internal investigation concerning allegations of improper revenue recognition practices.
• An energy company and its founder and CEO in an SEC investigation concerning certain securities offerings.

Investment Advisers

• A global investment adviser in an internal investigation concerning allegations of improper calculation of incentive fees and securities law violations.
• A global investment adviser in an SEC investigation concerning the accuracy of certain financial, risk and related-party disclosures.
• An investment adviser focused on the digital economy in an SEC investigation concerning the accuracy of certain portfolio company valuations and adequacy of disclosures to limited partners.

Broker Dealers

• A leading investment bank and capital markets firm in parallel CFTC, DOJ, FINRA and SEC investigations concerning spoofing.
• A leading investment bank and capital markets firm in several SEC insider trading inquiries, specifically focused on life sciences investments.

Individuals

• A former finance executive of a public SaaS company in an SEC investigation concerning revenue recognition practices.
• An individual investor in an SEC investigation concerning broker-dealer registration.*

*Prior to joining Kirkland