New York Phone +1.212.309.6130 Fax +1.212.309.6001
101 Park Ave.//New York, NY 10178-0060//United States
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.