Betty Santangelo focuses her practice on white-collar criminal defense and securities/bank enforcement. A former Assistant US Attorney for the Southern District of New York, she specialized in securities and commodities fraud prosecutions. Her practice includes representing financial institutions (banks, broker-dealers, mutual funds, FCMs, insurance companies, investment advisers, hedge funds and private equity funds), other corporate entities and individuals in matters brought by the U.S. Attorneys' offices, by various regulatory agencies, including the SEC, the bank regulatory agencies, the CFTC, FINRA, SIGTARP, international regulators (such as the FCA) and state and local prosecutors. Betty also has significant experience conducting internal investigations for these entities. In addition, she has served as an independent consultant in SEC enforcement matters examining both the NYSE and a regional broker-dealer. Prior to joining SRZ, Betty served as First Vice President and Assistant General Counsel for Merrill Lynch, where she managed the firm's securities and criminal regulatory investigations group and represented the firm and its employees in enforcement proceedings before federal and state regulatory agencies, and in criminal matters before US Attorneys' offices and state prosecutors, as well as in foreign jurisdictions.
Betty is nationally recognized and a sought-after speaker for her expertise in corporate compliance issues, including anti-money laundering, OFAC and FCPA. She has extensive experience advising in these areas, including for business transactions. In addition to Expert Guide to the World's Leading Women in Business Law, she is listed in Best Lawyers in America, International Who's Who of Business Crime Defence Lawyers and The Legal 500 US, among other leading directories. Among her many professional activities, she has served as the Securities and Futures Industry's representative on the Bank Secrecy Act Advisory Group of the US Department of the Treasury and as counsel to the Securities Industry and Financial Markets Association's Anti-Money Laundering and Financial Crimes Committee. In 2014, SIFMA honored her for her extraordinary contributions to the committee and recognized her dedication to improving industry compliance. In 1998, the Financial Crimes Enforcement Network of the Treasury Department awarded her its Director's Medal for Exceptional Service. That same year, she represented the US securities industry at the Financial Action Task Force (FATF) meeting in Brussels. In 2002, she represented SIFMA, the Futures Industry Association and the Investment Company Institute at the FATF meeting in Paris. She has served as division co-director of the ABA Litigation Committee and as chair of its Securities Litigation and Broker-Dealer Subcommittees. The Emerald Literati Network has recognized Betty twice for articles she wrote on financial institutions' anti-money laundering obligations. She is also the recipient of a Burton Award for her article on the FCPA. She was the 2009 recipient of the New York Chapter of the National Organization for Women's Annual Women of Power and Influence Award. Betty is a graduate of Fordham University School of Law and Trinity College, where she participated in its honors program at the University of Oxford.