Katarzyna Mularczyk

Before joining Morgan Lewis, Kathy was a compliance associate at a retail foreign exchange broker, where she focused on the firm’s compliance with NFA and CFTC rules and the then-newly enacted Dodd-Frank Act. 

• Developed and tested extensive revisions to anti-money laundering policies and procedures designed to improve the handling of subpoenas and suspicious activity reporting processes, and trained newly created team to implement changes in the protocols, as part of a five-month secondment with one of the nation’s largest financial institutions 
• Represented broker-dealer in regulatory investigations by FINRA and the New York Stock Exchange Regulation related to trading risk management and market access controls
• Represented financial services company in FINRA investigation focused on electronic trading with wide-ranging allegations related to algorithmic trading models, Volcker Rule violations, and trading ahead in dark pools
• Represented global bank in CFPB, DOJ and SEC investigation related to sales practices
• Represented financial services company in SEC investigation related to handling of “pre-released” American Depositary Receipts
• Represented brokerage firm in securing a favorable settlement with FINRA in connection with sales practices and disclosures for variable annuities
• Represented financial institution in complex litigation related to mortgage backed securities
• Represented companies in Foreign Corrupt Practices Act (FCPA) investigations and related inquiries by the DOJ and SEC
• Represented financial firm in FINRA investigation involving alleged failure to supervise under FINRA Rule 3110
• Helped reunite a father and his 2-year-old son following five months of separation and detention at the US-Mexico border, as part of pro bono work