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practice areas

Litigation Class Actions Broker-Dealers Securities Industry Securities Litigation & Enforcement Commercial Litigation Broker-Dealer & Capital Markets Regulation

bar admissions

District of Columbia Pennsylvania

court admissions

U.S. Supreme Court U.S. District Court for the District of Columbia

E. Andrew Southerling

Email: asoutherling@morganlewis.com

Washington, D.C.
1111 Pennsylvania Ave., NW
Washington, DC 20004-2541
Phone: 202.739.5062
Fax: 202.739.3001

education

Catholic University of America, Columbus School of Law, 1994, J.D.

Villanova University, 1990, B.A.

Date	Title	Publication
02/27/1302/27/13	The SEC Speaks: Enforcement Panel Discusses 2013 Priorities and Past Successes View LawFlash	Securities LawFlash
02/26/1302/26/13	Panelist, Mass Changes at the SEC — The SEC 2012 Municipal Market Study and Focus on Enforcement: What Does It Mean for 2013?, presented at the 5th Annual National Municipal Bond Summit, Ft. Lauderdale, Florida	Speech
12/06/1212/06/12	Moderator, 2nd Annual Municipal Fixed-Income Legal and Compliance Roundtable presented by Morgan Lewis, Philadelphia	Speech
03/11/12March 2012	Panelist, Rewriting the Rules: SEC Regulatory Efforts in 2012, presented at the National Municipal Bond Summit, Miami	Speech
02/11/12February 2012	SEC and FINRA 2011 Year in Review	Webinar
02/01/1202/01/12	Select SEC and FINRA Broker-Dealer Cases and Developments: 2011 Year in Review View LawFlash	Securities LawFlash
01/31/12January 2012	2011 Year in Review: SEC and FINRA Selected Enforcement Cases and Developments Regarding Broker-Dealers View Publication	White Paper
12/01/11December 2011	Moderator, Municipal Fixed-Income Legal and Compliance Roundtable, Co-hosted with Bond Dealers of America, Philadelphia	Speech
11/11/11November 2011	Panelist, The Era of the Whistleblower? What To Do When the Whistleblower Knocks At Your Door, presented at the Pennsylvania Bar Institute’s 17th Annual Business Lawyers’ Institute, Philadelphia	Speech
05/01/11May 2011	Panelist, Key Regulatory Initiatives Impacting SEC Enforcement and Financial Oversight, presented at the Pennsylvania Bar Institute’s Dodd-Frank Regulatory and Rulemaking Update Philadelphia	Speech
03/18/11March 2011	Morgan Lewis 2010 Hedge Fund Enforcement Year in Review View White Paper	White Paper
02/17/1102/17/11	SEC and FINRA 2010 Year in Review View Presentation	Webinar
02/10/1102/10/11	The SEC Speaks 2011: Aggressive Enforcement to Continue Post-Reorganizational and Legislative Changes View LawFlash	Securities LawFlash
01/26/11January 2011	2010 Year in Review: SEC and SRO Selected Enforcement Cases and Developments Regarding Broker-Dealers View Publication	White Paper
08/06/10August 2010	2010 Mid-Year in Review: SEC and SRO Selected Enforcement Cases and Developments Regarding Broker-Dealers View White Paper	White Paper
07/19/1007/19/10	Landmark Legislation Gives SEC New Enforcement Capability View LawFlash	Financial Regulatory Reform LawFlash
02/11/1002/11/10	The SEC Speaks 2010: Fast-Paced Reform Continues in 2010 View LawFlash	Securities LawFlash
01/26/10January 2010	The Securities and Exchange Commission Announces New Cooperation Initiative View the White Paper	White Paper
12/04/092009	Conducting Internal Investigations, presented at the 2009 Institute at Wharton, Ft. Lauderdale, FL	Speech
02/12/0902/12/09	New SEC Chairman Schapiro Pledges Swift and Vigorous Enforcement View LawFlash	Securities LawFlash
04/08/0804/08/08	Ninth Circuit Rules That Government Need Not Disclose Simultaneous Criminal Investigation View LawFlash	Litigation LawFlash
11/08/0711/08/07	The Law of Insider Trading	Speech
03/01/07March 2007	The State of Play in Variable Annuities: Revisiting Best Supervisory and Control Practices, BISA View Article	Article
11/02/0611/02/06	A Survey of the Regulatory Landscape - Using Past Precedent to Avoid Possible Pitfalls, presented at the ING Variable Annuities Regulatory Forum, New York	Speech
10/31/05October 2005	The New York Stock Exchange and Cooperation: Another Precinct Heard From, Journal of Investment Compliance, Vol. 6 No. 2	Article
10/12/05October 2005	The New York Stock Exchange and Cooperation — Another Precinct Heard From View White Paper	White Paper

practice areas

bar admissions

court admissions

E. Andrew Southerling

education

Publications