Kathy Mularczyk represents financial institutions in all aspects of government and self-regulatory organization (DOJ, OCC, CFPB, SEC, FINRA, NYSER) examinations and investigations, conducts large-scale internal investigations, and manages complex electronic discovery-related matters including overseeing large scale e-data reviews, teams, and productions. Her experience includes matters involving electronic trading, research report disclosures, due diligence issues, Regulation SHO, suitability, supervision, reporting, pricing, books and records, municipal bond underwriting expenses, residential mortgage-backed securitizations, and sales and trading practices. Kathy has also worked on complex civil litigation cases.
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
City University of New York, New York City College of Technology, 2005, B.S., Magna Cum Laude
State University of New York at Buffalo Law School, 2009, J.D.