Susan Krawczyk is a member of Sutherland’s Financial Services Practice Group and focuses her practice on regulatory and compliance issues for broker-dealers and investment advisers in the retail, institutional and retirement markets. She works with firms in establishing marketing and compensation arrangements, developing sales programs, and implementing appropriate compliance systems and procedures. She has particular experience with firms involved in the sale and distribution of various investment products and programs, such as mutual funds, variable products, real estate investment trusts, business development companies and direct participation programs. Susan has been closely involved with numerous organizations in the establishment and reorganization of broker-dealer firms and has developed and conducted training programs for all levels in broker-dealer firms, including sales representatives, field supervisors, home office personnel and boards of directors.
Susan represents clients before the U.S. Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA). She also has served on FINRA’s Variable Products Committee.
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