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Andrew B. Holmes




Last Update: July 31, 2018 09:25 AM

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Andrew B. Holmes


Andrew Holmes’ practice focuses on complex civil litigation, securities enforcement defense, and other regulatory defense. He represents clients in a broad range of fraud-based matters, including SEC, FINRA, California Department of Business Oversight (formerly Department of Corporations), Department of Real Estate, Department of Insurance, and CFTC investigations, grand jury investigations and criminal and civil litigation involving allegations of financial fraud and related allegations of malfeasance. He also represents clients in general litigation matters, commercial disputes (including unfair competition and antitrust matters arising under the Sherman, Clayton, and Cartwright Acts), real estate litigation (including RESPA issues), and employment disputes. Mr. Holmes also represents clients in proceedings before the Department of Insurance, Department of Real Estate, Board of Accountancy, and the Medical Board.

An experienced trial attorney, Mr. Holmes recently obtained a non-suit for a defense client following the close of plaintiff's case in a jury trial, and among many other matters, Mr. Holmes led the defense of a multi-plaintiff state qui tam action with allegations totaling well over $300 million, and co-chaired the 21-day trial.  

Prior to co-founding Holmes, Taylor & Jones LLP, he was a shareholder in Beck, DeCorso, Daly, Kreindler & Harris, a Los Angeles-based white collar criminal and civil litigation firm, was Counsel at Manatt Phelps & Phillips, and Of Counsel at Liner, Grode, Stein, Yankelevitz, Regenstreif & Taylor.  Prior to entering private practice, Mr. Holmes served as a Staff Attorney in the Enforcement Division of the United States Securities & Exchange Commission (where he was formally recognized for his innovation and leadership), and as Corporations Counsel in the Enforcement Division of the California Department of Corporations. While at the California Department of Corporations, Mr. Holmes was a founding member of the Internet Compliance and Enforcement (“ICE”) unit, and while at the SEC, Mr. Holmes was a member of the Internet Enforcement Branch.


Mr. Holmes has been recognized as a "Super Lawyer" by Los Angeles Magazine and Southern California Super Lawyers Magazine since 2012, and prior to that as a “Southern California Rising Star” from 2007 through 2011.  While at Beck DeCorso, Mr. Holmes was individually identified and discussed in the Daily Journal’s “Top Southern California Law Firms” special supplement on June 21, 2007.  Mr. Holmes lives in Santa Monica with his wife and two children.


Representative engagements include:


  • Represented various companies, boards, audit committees and special committees, as well as current and former directors and officers, in internal investigations and in related SEC investigations and shareholder litigation regarding stock options practices and related accounting and reporting issues.
  • Represented several clients in EB-5 immigrant-investor program-related investigations and litigation.
  • Represented clients in trade-dress, unfair competition, and antitrust-related litigation. 
  • Represented doctor accused of criminal misfeasance in his prescribing opiates and other drugs to a high-profile actress prior to her death.
  • Represented individual and entity in connection with IRS and US Attorney investigation into under-reported income over several years.
  • Represented NASDAQ company and principal shareholders against big four accounting firm in high-stakes breach of contract and negligence action.
  • Represented family in multi-million dollar breach of contract and negligence action regarding complex three-parcel real property funding secured by deeds of trust.
  • Confidential representation of corporate private investigator during internal investigation triggered by federal congressional investigation.
  • Confidential investigation of public company’s alleged “channel stuffing” and “round-tripping” transactions in connection with allegations that company revenues were overstated.
  • Confidential investigation of allegations of unregistered stock issuances in connection with public company’s acquisition through reverse merger.
  • Confidential investigation into allegations of selective disclosure by public company in violation of regulation FD.
  • Confidential investigation into auditor independence issues in connection with allegations of an audit failure at a publicly-traded company.
  • Confidential investigation into activities of executive at publicly traded company who allegedly posted confidential information on Internet bulletin boards.
  • Confidential investigation of major retailer in connection with a variety of criminal and civil fraud matters.
  • Confidential investigation into alleged improper animal care at a large research facility.
  • Represented various persons in insider trading investigations by the SEC and United States Attorneys’ Offices (multiple).
  • Represented claimants in FINRA arbitration regarding suitability, churning, and failure to supervise issues.
  • Represented commodities broker in NFA arbitration regarding suitability and related customer claims.
  • Represented health insurer in government investigation into claims practices.
  • Representation of law firm in federal criminal investigation regarding anti-kickback statutes. 
  • Represented licensed insurance agent in license revocation proceeding.  Administrative trial ended after four days and resulted in a small fine and restoration of agent's insurance license.
  • Represented real estate brokerage license applicant in Department of Real Estate administrative proceeding to deny licensure.
  • Represented CPA in action by California Board of Accountancy to revoke accountant's license.

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