E. Andrew Southerling

E. Andrew Southerling has more than 20 years of experience representing corporations, financial institutions and their officers, directors, and employees in a wide range of civil and criminal investigations, litigation, and enforcement actions.

Prior to private practice, Andrew served for 7 years in the Division of Enforcement at the U.S. Securities and Exchange Commission. During his tenure at the SEC, Andrew spearheaded some of the Enforcement Division’s most complex and high-profile investigations and enforcement actions working closely with the U.S. Department of Justice, Financial Industry Regulatory Authority, Department of Treasury, and state regulators.

Drawing on his experience in government service and private practice, Andrew counsels clients on securities enforcement matters, securities litigation, and complex regulatory compliance issues. He represents clients in investigations and enforcement litigation before the SEC, DOJ, FINRA, state attorneys general, and Congressional committees. Andrew also conducts internal investigations on behalf of corporate management and boards of directors and advises clients on developing and implementing effective compliance programs.

Andrew has been an adjunct professor at the Catholic University, Columbus School of Law, and is a frequent speaker at securities industry conferences and author on securities enforcement issues.