Stefanie M. Wayco

Stefanie M. Wayco

Associate

Stefanie M. Wayco focuses her practice on representing financial services firms, broker-dealers, securities industry professionals and others in regulatory and enforcement matters, FINRA arbitrations and internal investigations. She has wide-ranging experience with product cases, alternative investments, mutual funds and variable annuities, senior investors, Anti-Money Laundering, Bank Secrecy Act, outside business activities, privilege issues, compliance policies, supervisory policies, and standard operating procedures for financial services firms.

Concentrations

  • Securities enforcement & regulatory matters
  • Securities litigation & arbitration
  • Broker-dealer compliance
  • Regulatory & internal investigations
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Capabilities

Experience

  • Defense of financial services firm in a FINRA investigation related to Anti-Money Laundering (AML).°
  • Representation of financial services firms in a FINRA investigations and On-The-Record Testimony related to misappropriation of funds from senior clients.°
  • Defense of financial services firm in Federal Court related to creation of fraudulent accounts and embezzlement of funds.°
  • Represented broker-dealer and registered representative in FINRA arbitration where supervision and supervisory policies were at issue related to suspected undue influence of an elderly customer (panel denied all claims).°
  • Lead counsel defending broker-dealer and registered representative in FINRA arbitration related to suitability of options trading (all claims denied, expungement granted); and suitability of mutual fund investment (all claims denied, expungement granted).°
  • Represented broker-dealers and registered representatives in FINRA arbitration hearing involving unauthorized trading, suitability of structured products, and numerous alternative investment product cases.°
  • Represented numerous individual registered representatives in expungement proceedings in FINRA arbitrations and related state court proceedings.°

°The above representations were handled by Ms. Wayco before her joining Greenberg Traurig, LLP.

Recognition & Leadership

  • Selected, Super Lawyers magazine, Georgia Super Lawyers, "Rising Star," 2018
  • Southeastern Women in Financial Services (SWIFS)
    • Advisory Board Member and Secretary, 2018-Present
    • Planning Committee Member, 2017-2018
  • Member, National Society of Compliance Professionals (NSCP), 2010-Present
  • Member, NY/NJ Georgia Tech Alumni Association
    • NY Regional Committee Chair, President’s Scholarship Program, 2013-Present
    • Co-Chair, NJ/NY Scholarship Committee, 2013-Present
  • Lustgarten Foundation for Pancreatic Cancer Research, 2011-Present
    • Chair, Lustgarten Foundation for Pancreatic Cancer Research Walk Atlanta, 2017
    • Leadership Summit July 11-12, 2017 (New York)
    • Team Leader, “Wayco’s Warriors & Norma’s Network” Pancreatic Cancer Research Walk NYC, 2017
    • Volunteer, Lustgarten Foundation for Pancreatic Cancer Research Walk NYC, 2011-Present
    • Team Leader, “Norma’s Network” Pancreatic Cancer Research Walk NYC, 2011-2016
  • Mentor, University of Georgia School of Law Students

Credentials

Education
  • J.D., cum laude, University of Georgia School of Law, 2009
    • Articles Editor, Georgia Journal of International and Comparative Law
  • M.A., New York University, 2006
  • B.S., with highest honors, Georgia Institute of Technology, 2004
    • Recipient, President’s Undergraduate Research Award
    • Georgia Tech Women’s Forum Scholar
Admissions
  • New York
  • New Jersey
  • Georgia
  • Supreme Court of the United States