Katarzyna Mularczyk


Katarzyna Mularczyk represents broker-dealers and their employees in investigations and disciplinary proceedings by the US DOJ, the SEC, self-regulatory organizations, and state securities regulators. Financial services firms turn to Kathy to represent them when facing investigations and enforcement actions involving residential mortgage-backed securitizations, research report disclosures, due diligence, regulation SHO, and matters involving suitability, supervision, reporting, pricing, books and records, municipal bond underwriting expenses, and trade practices. Kathy also counsels clients on conducting internal investigations and is involved in complex civil ligations.