Anne C. Flannery counsels clients on securities enforcement and litigation matters. These include investigations into potential securities fraud, as well as trading and sales practice violations—and related supervisory issues—conducted by the US Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA), and state securities regulators. Anne brings to her practice experience working at the SEC and serving as first vice president and general counsel for global regulatory affairs at Merrill Lynch.
Financial institutions, public companies, and individuals seek Anne’s counsel during investigations and litigation with securities regulators, including contested hearings and appeals. Anne also has extensive experience in conducting internal investigations and counseling investment advisers and broker-dealers on regulatory and compliance issues. She acts as an independent consultant to firms, and represents clients in general federal civil litigation and white collar criminal defense matters relating to securities issues.
Anne originally joined Morgan Lewis in October 1987 after a successful career as a senior official in the SEC’s Washington, DC, and New York offices. While a partner in the firm’s securities practice, Anne also served on Morgan Lewis’s Governing Board for several years. In 1999, she left Morgan Lewis to join Merrill Lynch’s office of general counsel. At Merrill, she held several senior positions, including first vice president and general counsel for global regulatory affairs. She also served as the global head of compliance.
Anne is actively involved in industry and legal associations. She is co-chair of the self–regulatory organizations (SRO) subcommittee of the American Bar Association’s (ABA) litigation section securities committee and a former co-chair of the ABA securities litigation committee. She is also a former member of the New York Stock Exchange’s (NYSE) legal advisory committee, the National Association of Securities Dealers (NASD) membership committee, and the Security Industry Association (SIA) compliance and legal division executive committee.
Brooklyn Law School, 1976, J.D., Cum Laude
Marymount Manhattan College, 1973, B.A., Cum Laude
Awards and Affiliations
Listed, Chambers USA: America's Leading Lawyers for Business (2009–2014)
Co-Chair, SRO Subcommittee, ABA Litigation Section Securities Committee
Former Co-Chair, ABA Litigation Section Securities Litigation Committee
Former Member, NYSE Legal Advisory Committee
Former Member, NASD Membership Committee
Former Member, SIA Compliance and Legal Division Executive Committee
Recipient, SEC Irving M. Pollack Award
Recipient, SEC Distinguished Senior Executive Service Award