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.
Concentrations
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Securities enforcement & regulatory matters
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Securities litigation & arbitration
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Broker-dealer compliance
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Regulatory & internal investigations
