Shauna R. Sappington

Associate

Shauna R. Sappington is an associate in Morgan Lewis's Investment Management and Securities Industry Practice. Ms. Sappington focuses her practice on the regulation of broker-dealers and investment advisers under federal and state securities laws as well as the rules of self-regulatory organizations, including the NASD and NYSE.

Prior to joining Morgan Lewis, Ms. Sappington worked as an attorney in the Securities and Exchange Commission's Office of Compliance Inspections and Examinations. In that role, Ms. Sappington focused on the regulation of securities markets through her participation in the examinations of exchanges and broker-dealers. Ms. Sappington also participated in several sweep examinations, including the mutual fund sales practices and the market timing and late trading examinations.

Prior to working at the SEC, Ms. Sappington worked at a Baltimore-based securities brokerage firm and was responsible for various compliance and regulatory matters involving the firm's brokerage and asset management business.

Ms. Sappington received her J.D. from The Catholic University of America, Columbus School of Law in 2002 and her B.S., magna cum laude, in international business from the University of Baltimore in 1998.

Ms. Sappington is admitted to practice in the District of Columbia and Maryland.