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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.
Before joining Morgan Lewis, Kathy worked at Forex Capital Markets, where she focused on the firm’s compliance with NFA and CFTC rules for foreign exchange brokers and with the then-newly enacted Dodd-Frank Act.
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.