"I use my extensive financial crime compliance background to counsel businesses with regard to complying with the Bank Secrecy Act, USA PATRIOT Act and other regulations designed to prevent money laundering and other illicit or prohibited activity. With regard to my securities enforcement defense practice, I believe that strong but positive and cordial advocacy is key in attempting to obtain the best result for my clients and am uniquely positioned given my background as an in-house regulatory attorney to understand the challenges that broker dealers face in connection with regulatory actions including undertakings and remediations."
Kerry Zinn’s practice focuses on regulatory and compliance counseling relating to anti-money laundering, anti-bribery and corruption and sanctions. Kerry also represents financial institutions and their employees in enforcement actions by government and self-regulatory organization regulators relating to a broad range of issues including but not limited to financial crime compliance program deficiencies.
Kerry is a member of Bressler's Senior and Vulnerable Investor Group. The lawyers in this group have a shared interest in providing counsel to corporate clients who confront issues affecting seniors.
Prior to joining Bressler, Kerry was the lead attorney advising UBS’ retail and institutional broker dealers, investment advisers and private banks in the Americas relating to their financial crime prevention programs and associated regulatory issues. Kerry also served as a senior regulatory attorney for UBS’ 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 also had the honor of clerking for two federal judges for the U.S. District Court in and for the Southern District of Florida.
Experience
News
- December 6, 2017Kerry A. Zinn Joins Bressler as Principal in Securities Practice Group
New York – December 6, 2017 – The law firm of Bressler, Amery & Ross, P.C. announced today that Kerry A. Zinn has joined the firm as a Principal focusing on financia… Read more
Speaking
- October 3, 2019Kerry Zinn to Speak at the 2019 FSDA Industry Outreach Program
Principal Kerry Zinn will speak at the 2019 Florida Securities Dealer Association Industry Outreach Program on Thursday, October 3, 2019 in Boca Raton, Florida.… Read more
- July 9, 2019Bressler Attorneys to Present on a Webinar Hosted by A.D. Banker and Company and Bressler
Bressler Attorneys Josh Jones, Kerry Zinn and Sarah Yates will be presenters on a webinar hosted by A.D. Banker and Company and Bressler titled "Senior & Vulnerable … Read more
- June 18, 2019Kerry Zinn to Speak at SIFMA C&L Society St. Louis Regional Seminar
Principal Kerry Zinn will speak at the SIFMA Compliance and Legal Society 2019 St. Louis Regional Seminar taking place on June 18, 2019 at the Edward Jones Conferenc… Read more
- May 14, 2019Bressler Co-Hosts Seniors Webinar Series
Bressler, Amery & Ross and A.D. Banker and Company will co-host a series of webinars titled "Senior & Vulnerable Investor Financial Protection and Reporting." The we… Read more
- April 18, 2019Bressler Hosts Investment Advisers Seminar
On April 18, 2019 Bressler will host an Investment Adviser seminar titled "10 Surefire Ways to Get Sued by Your Client or Fined by Your Regulator (...and how to avoi… Read more
- August 14, 2018Kerry Zinn to Speak at Southeastern Women in Financial Securities (SWIFS) Summer Lunch and Learn
Principal Kerry Zinn will be speaking at the Southeastern Women in Financial Securities (SWIFS) Summer Lunch and Learn titled "Lift Off to a Year of Power".… Read more
- June 11-12, 2018UNC School of Law Financial Services Compliance Boot Camp
The UNC School of Law Financial Services Compliance Boot Camp will take place June 11-12, 2018 at the UNC Charlotte Center City in Charlotte, North Carolina. Bressle… Read more
- April 25, 2018Kerry Zinn to Participate in Association of Certified Anti-Money Laundering Specialists (ACAMS) Webinar
Principal Kerry Zinn will be a speaker at the Association of Certified Anti-Money Laundering Specialists (ACAMS) webinar on April 25, 2018.… Read more
- January 31, 2018ABA SRO AML Roundtable Including Compliance with FinCEN’s Customer Due Diligence Regulation
The SRO and States Subcommittee of the ABA Securities Litigation Committee is pleased to announce its upcoming program, "AML Roundtable Including Compliance with Fin… Read more
Publications
- August 14, 2019The SEC Examined 50+ RIAs Who Are Employing or Have Employed Individuals with a History of Disciplinary Issues and This is What They Found…
Financial Institutions Law Alert… Read more
- July 17, 2019A 54% Increase in the Number of Depository Institutions Banking Cannabis Companies
Client Alert… Read more
- June 7, 2019Kerry Zinn and Tanya Lambrechts Author Article "The SEC Defined 'Fiduciary Duty,' and a Year Later, Advisers are Still Waiting for Clarity"
Investment advisers who have been around awhile know that the SEC, both independently and through case law, has defined and redefined what it means for an adviser to… Read more
- May 22, 2019The SEC Defined "Fiduciary Duty" and a Year Later, Advisers are Still Waiting for Clarity
Financial Institutions Law Alert… Read more
- May 20, 2019FinCEN Extends GTO Relating to Cash Real Estate Deals in 12 Metropolitan Areas
Anti-Money Laundering Alert… Read more
- May 13, 2019FINRA Refreshes Guidance on Money Laundering Red Flags
Financial Institutions Alert… Read more
- May 9, 2019FinCEN Issues Updated Advisory on Widespread Public Corruption in Venezuela
Financial Institutions Law Alert… Read more
- May 2019Florida Senate Passes Bill Paving the Way for Creation of a State Hemp Program
Cannabis Law Alert… Read more
- April 2019The SAFE Banking Act Passes the House Financial Services Committee
Cannabis Law Alert… Read more
- March 2019The Secure and Fair Enforcement (SAFE) Banking Act
Cannabis Law Alert… Read more
- March 8, 2019CFPB Report Shows Financial Exploitation of Seniors is Becoming the Crime of the 21st Century
Financial Institutions Law Alert… Read more
- March 5, 2019Kerry Zinn and Jackie Aleman Author Article "Enforcement Actions Taken for Non-Participation in the 2018 SCD Initiative"
In February 2018, the Division of Enforcement of the U.S. Securities and Exchange Commission (SEC) launched a self-reporting initiative for investment advisers who r… Read more
- February 15, 2019Follow-Up: House Financial Services Committee Completes First Hearing on Banking for Cannabis Businesses
Cannabis Law Alert… Read more
- January 30, 2019FINRA Issues 529 Plan Share Class Initiative Encouraging Firms to Self-Report
Financial Institutions Law Alert… Read more
- October 1, 2018Failure to Detect and Report Suspicious Activity Results in Brokerage Firm Significantly Curtailing its Penny Stock Clearing Business
Anti-Money Laundering Alert… Read more
- May 30, 2018When are Anti-Money Laundering Program Deficiencies a Crime?
Kerry Zinn identifies stipulations to evaluating anti-money laundering programs and the importance of cooperating with regulators.… Read more
- April 5, 2018Long Awaited Frequently Asked Questions Regarding Customer Due Diligence Requirements for Financial Institutions
Anti-Money Laundering Alert… Read more
- April 2, 2018Kerry Zinn Authors Article, "Regulatory risk and the Treasury Department's new customer due diligence rule"
Financial institutions have been facing ever-increasing regulatory risk related to anti-money-laundering compliance over the past several years.… Read more
- March 16, 2018Regulatory risk and the Treasury Department's new customer due diligence rule
Financial institutions have been facing ever-increasing regulatory risk related to anti-money- laundering compliance over the past several years.… Read more
- March 7, 2018FINCEN Clarifies SAR Filing Obligations With Regard To Customer Participation In Their Home Country Tax Regularization Program
Client Alert… Read more
- February 9, 2018Anti-Money Laundering Programs Included in the SEC’s 2018 National Exam Program Examination Priorities
Securities Law Alert… Read more
- January 9, 2018FINRA’s 2018 Priorities Letter Makes Clear that Firms' Anti-Money Laundering Programs Will Continue to Be Closely Scrutinized
Securities Law Alert… Read more
- December 8, 2017FINRA on Anti-Money Laundering Program Deficiencies in its First-Time Report on Examination Findings
Securities Law Alert… Read more
Services
Education
- University of Miami School of Law, J.D., cum laude, 1997
- University of Michigan, B.A., 1993
Bar Admissions
- Florida
Court Admissions
- U.S. District Court, Southern District of Florida
