May 28, 2020

Stefanie M. Wayco

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

  • Securities enforcement & regulatory matters

  • Securities litigation & arbitration

  • Broker-dealer compliance

  • Regulatory & internal investigations

Articles in the National Law Review database by Stefanie M. Wayco

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