Ms. Mustico has 18 years of extensive experience in conducting sales practice examinations of FINRA member Broker/Dealers which includes approximately seven years as an Associate Principal Examiner, with the FINRA District Offices in DC and New York. She has led and collaborated on examinations of large investment banks as well as small to mid-sized firms.
At the onset of her career, Catherine worked in the Market Regulation department as a Fraud Investigator and Insider Trading Analyst investigating all manner of market manipulations, such as pump and dump and round-trip trading schemes. As an Associate Principal Examiner for FINRA, her main tasks were to facilitate routine cycle examinations of members and to conduct investigations into various customer complaints, registered representative’s for cause terminations, and regulatory tips. Catherine has expertise in Anti-Money Laundering (AML), financial, and fraud investigations, AML procedures, brokerage operations and compliance requirements, as well as FINRA, Securities and Exchange Commission (SEC), and New York Stock Exchange (NYSE) regulations.
Since 2012, Catherine has provided compliance and fraud investigation services to various firms, nonprofits, and charities. Among her many contributions include direct supervision of broker dealers in structuring supervisory processes and procedures; investigation of Federal Securities Law violations; and prompt resolution to emerging issues and policy concerns. Serving as a CCO since 2013 at various BDs, Catherine designed entire compliance programs to meet FINRA & SEC Rules. Employing her excellent risk assessment and investigative skills, she expertly led efforts in identifying, evaluating, mitigating, and reporting on compliance and reputational risks across the company.
SER Voting Member