Kacy Donlon & Dionne Fajardo Present Anti-Money Laundering Webinar to Financial Services Institute


Kacy Donlon, founding member, and Dionne Fajardo, Of Counsel, of the Tampa-based law firm of Guerra King presented a webinar to Financial Services Institute members on January 15th titled A Penny for Your Thoughts: Recent AML Enforcement Cases.  The webinar addressed firms’ Anti-Money Laundering (AML) obligations as well as FinCEN’s proposed rule regarding the identification of beneficial owners of brokerage accounts. Donlon and Fajardo discussed the 2015 SEC and FINRA exam priorities related to AML issues as well as AML issues related to investment advisors. Finally, the pair recounted recent AWCs and Enforcement Actions brought against member firms and associated persons related to AML violations, especially in the microcap arena. Read the PowerPoint presentation here.

More information about Donlon and Fajardo is available at: Kacy Donlon and Dionne Fajardo.   Guerra King is a proud sponsor of the Financial Services Institute.



Guerra King, a Tampa-based law firm with sixteen lawyers, handles complex commercial litigation and arbitration matters, as well as white collar and regulatory investigations and enforcement matters involving corporate misconduct, securities, trade practices, Foreign Corrupt Practices Act, and insurance. The founding members, with over 125 years of collective experience, are recognized nationally and locally as among the top lawyers in Florida and the United States. Our vision is to provide the highest quality representation on the most sophisticated and complex litigation and regulatory matters. Guerra King provides mediation and private arbitration services through GK-ADR.  The firm also provides compliance and regulatory consulting services to financial services companies and individuals.

For more information, follow GK on Twitter @WiandGuerraKing