Stefanie Wayco

Stefanie Wayco

Partner

DLA Piper

Stefanie M. Wayco focuses her practice on representing financial services firms including broker-dealers, securities industry professionals and others in regulatory and enforcement matters, FINRA arbitrations and internal investigations. She has extensive experience with mass actions, product cases, alternative investments, mutual funds and variable annuities, senior investors, anti-money laundering, Bank Secrecy Act, outside business activities, compliance policies, supervisory policies and standard operating procedures for financial services firms.

BREAKOUT: Behind the Headlines: Lessons Learned from Recent High Profile Enforcement Actions

Biscayne

Banks continue to make headlines for AML compliance program failures in spite of increased spending on resources and technology. We have assembled a team of legal experts who will review what went wrong and the fallout from cases such as Societe Generale, Julius Baer/Venezuela, and Den Danske Bank.

Issues & Trends Sanctions & Enforcement
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