RIABiz

News, Vision & Voice for the Advisory Community

RIABiz

The former top crime compliance and operational risk control officer for UBS Americas, and before that one of the lead trial attorneys for the SEC, has joined the law firm of Bressler, Amery & Ross, P.C. as principal.

Kerry Zinn is based in the Florham, N.J.-based firm's Ft. Lauderdale office, where she will focus on financial crime compliance counseling and investigations and enforcement actions by government and self-regulatory organization regulators.

Bressler, Amery recently became the target of RIA-industry ire as conflict-of-interest questions arose regarding its dual capacities as keeper and administrator of the Broker Protocol and counsel for Morgan Stanley, which withdrew from the list in October. See: RIA lawyers cry foul against Bressler, Amery & Ross -- keeper of the Protocol flame -- after Morgan Stanley exit throws sunlight on attorney behavior.

At UBS, Zinn was lead attorney advising its retail and institutional broker-dealers, investment advisors and private banks relating to their financial crime prevention programs and associated regulatory issues. She also served as a senior regulatory attorney for UBS’s retail broker-dealer and its employees in connection with regulatory enforcement inquiries and investigations including high-profile, multi-regulator investigations. 

Before joining UBS, Kerry was one of the lead trial attorneys in the Miami office of the U.S. Securities and Exchange Commission and represented that agency in federal court and administrative proceedings.

“Kerry is a great addition to our team. Her deep experience in financial crime compliance and the defense of regulatory investigations involving deficiencies in financial crime compliance programs and other issues impacting financial services firms will greatly benefit our clients,” said Andrew Sidman, the head of Bressler’s securities regulatory defense practice and managing principal of Bressler’s New York office, in a statement.



RIABiz Directory

The Industry Sourcebook for RIAs

   |    LISTING


RIABiz Directory sponsored by:

Directory Sponsor Logo