Stefanie M. Wayco focuses her practice on representing financial services firms, broker-dealers, securities industry professionals and others in regulatory and enforcement matters, FINRA arbitrations and internal investigations. She has wide-ranging experience with product cases, alternative investments, mutual funds and variable annuities, senior investors, Anti-Money Laundering, Bank Secrecy Act, outside business activities, privilege issues, compliance policies, supervisory policies, and standard operating procedures for financial services firms.
Securities enforcement & regulatory matters
Securities litigation & arbitration
Regulatory & internal investigations
Articles in the National Law Review database by Stefanie M. Wayco