Photo of Andrew M. Hartnett

Andrew M. Hartnett

Officer

Admissions

  • Missouri
  • Illinois

Education

J.D., Saint Louis University School of Law, cum laude, Order of the Woolsack, 2007

M.A., French Studies, New York University, 2004

B.A., French, Catholic University of America, summa cum laude, 2003

Profile

Andrew Hartnett draws on his recent experience as the Missouri Commissioner of Securities to give clients an insider’s view of the regulations facing the securities industry. He has had extensive involvement in matters related to data security and has spoken across the country on topics including state securities regulations, cybersecurity and protection for senior investors.

Andrew served as Commissioner of Securities for Missouri Secretary of State Jason Kander from 2013 to 2016. As Commissioner, he directed the Missouri Securities Division and heard cases filed by the Enforcement Section of the Division. Among his achievements while Securities Commissioner, Andrew:

  • Spearheaded the drafting and passage of the Missouri Senior Savings Protection Act to prevent financial exploitation of senior citizens, one of the first statutes of its kind nationwide.
  • Initiated and chaired a Cybersecurity Committee of the North American Securities Administrators Association (NASAA), creating the cybersecurity program now used by most state regulators.
  • Chaired the Broker-Dealer Section and the Enforcement Section for NASAA as well as committees focused on cybersecurity, technology and federal legislation.

Before his appointment as Commissioner of Securities, Andrew served as Chief of Staff to then-Missouri Attorney General Chris Koster and was an Assistant Attorney General in the office’s Consumer Protection Division, handling all aspects of consumer protection, antitrust and securities investigations and litigation. His work there included directing an investigation of a major seller of vehicle service contracts and obtaining an indictment of its owners, who pleaded guilty to stealing and fraud. He also served as co-counsel in price-fixing antitrust litigation that involved more than $1.1 billion in settlements. 

Before his public service, Andrew started his career in private practice in St. Louis.

Professional Affiliations

  • North American Securities Administrators Association, past member and chair for the Broker-Dealer Section, Enforcement Section, Cybersecurity Committee, Federal Legislation Committee and Technology Committee.

Community/Civic Activities

  • Saint Louis Priory School Alumni Board

News & Insights

Seminars & Speaking Engagements

  • "An Advocate's Guide to Legislative and Regulatory Updates"
    Webinar, National Center for Victims of Crime, November 18, 2016
  • Moderator, "Fiduciary Free-For-All. The Varied and Changing Regulatory Requirements Regarding Financial Firms’ Duty to Investors"
    Midwest Interagency Conference, Chicago, Illinois, November 9, 2016
  • "Regulatory Review"
    PIABA Annual Conference, San Diego, California, October 27-28, 2016
  • "Broker/Dealer: State Enforcement Initiatives, Developments and Priorities"
    Practising Law Institute, New York, October 20, 2016
  • "Regulatory priorities"
    Edward Jones Mid-Missouri Regional Meeting, Lake of the Ozarks, Missouri, October 18, 2016
  • "Cybersecurity: Everyone's Talking About It, But What Do the Regulators Really Want?"
    Ascendant Compliance Conference, San Diego, California, September 26, 2016
  • Investment Adviser Section Forum, CRD/IARD Steering Forum and Broker-Dealer Section Forum panelist
    NASAA Annual Conference, Providence, Rhode Island, September 11-13, 2016
  • "What's Next: A Candid Conversation With Our Regulators"
    SIFMA Compliance and Legal Seminar, St. Louis, Missouri, June 14, 2016
  • "A View from NASAA: Emerging Regulatory Issues"
    Insured Retirement Institute Annual Conference, Washington, D.C., June 7, 2016
  • "Elder Financial Exploitation"
    Workshop, Saint Louis University Summer Geriatric Institute, St. Louis, Missouri, June 6, 2016
  • "Regulatory Roundtable"
    FINRA District Compliance Meeting, St. Louis, Missouri, April 19, 2016
  • "The Regulators’ View of Cybersecurity"
    Ascendant Compliance Conference, Orlando, Florida, April 4, 2016
  • "Senior Investor Protection and Regulatory Priorities"
    UMB Financial Services Annual Meeting, Overland Park, Kansas, March 29, 2016
  • "NASAA Panel: State Issues"
    Association of Registration Managers Annual Educational Conference, Amelia Island, Florida, March 8, 2016
  • "Elder Protections Against Abuse and Fraud"
    Midwest Interagency Conference, Chicago, Illinois, November 13, 2015
  • Cybersecurity panelist, Greensfelder's Annual Securities Symposium
    St. Louis, Missouri, November 11, 2015
  • "Keynote Regulation Panel"
    NRS Fall Compliance Conference, San Diego, California, October 14, 2015
  • Enforcement Section Forum, Investment Adviser Section Forum and CRD/IARD Steering Forum moderator and panelist
    NASAA Annual Conference, San Juan, Puerto Rico, September 28, 2015
  • "Regulator Roundtable: Regulatory Perspectives on Cybersecurity and Beyond"
    Financial Research Associates’ Cybersecurity Vigilance for BDs and IAs, New York, August 24, 2015
  • "Regulatory Update: Priorities and Developing Issues"
    SIFMA Compliance and Legal Seminar, St. Louis, Missouri, June 16, 2015
  • "Regulator Roundtable: Cybersecurity Expectations Going Forward"
    IA Watch’s Cybersecurity for Financial Services, Washington, D.C., May 21, 2015
  • "Balancing the Risks and Rewards of Technological Financial Innovation"
    NASAA Public Policy Conference, Washington, D.C., April 14, 2015
  • "NASAA Panel: State Issues"
    Association of Registration Managers Annual Educational Conference, Amelia Island, Florida, March 10, 2015
  • "Vulnerable Clients / Financial Abuse of the Elderly"
    FSI OneVoice, San Antonio, Texas, January 27, 2015
  • "Regulatory Perspective of Cyber Threats"
    Midwest Interagency Conference, Chicago, Illinois, December 17, 2014
  • "Tackling Financial Exploitation and Abuse of Accountholders"
    Greensfelder Annual Securities Symposium, St. Louis, Missouri, November 5, 2014
  • "Regulatory Roundtable: Core priorities and risk alerts – where should you focus your energies?"
    NRS Fall Compliance Conference, Scottsdale, Arizona, October 28, 2014
  • Investment Adviser Section Forum Cybersecurity Panel moderator
    NASAA Annual Conference, Indianapolis, Indiana, September 15, 2014
  • Broker-Dealer Section Forum panelist
    NASAA Annual Conference, Indianapolis, Indiana, September 14, 2014
  • "Regulatory Panel: The Latest Developments"
    SIFMA Compliance and Legal Seminar, St. Louis, Missouri, June 3, 2014
  • FINRA District Compliance Meeting roundtable panelist
    St. Louis, Missouri, February 25, 2014
  • "State Securities Regulators, Their Powers and Priorities"
    Greensfelder Annual Securities Symposium, St. Louis, Missouri, November 6, 2013
  • "Regulatory Programs – The Old and the New, Findings and Trends"
    FINRA District Compliance Meeting, Kansas City, Missouri, September 26, 2013
  • "Working With Aging Clients – Competency, Elder Abuse, and Supervising ‘Complex Products'"
    SIFMA Compliance and Legal Seminar, St. Louis, Missouri, June 5, 2013

Publications

Articles

Blog Posts