Anna (Caplan) Avery

Anna (Caplan) Avery has over a decade of fraud investigation, bankruptcy, financial crimes, and corporate compliance experience. She has experience in a variety of litigation disputes, receiverships, monitorships, forensic investigations, and internal audits across the financial services, asset management, and digital asset industries.

She has experience in cross-border litigation matters and insolvencies assisting clients with a variety of services across various industries, including forensic analysis, asset tracing, lost profit calculations, investor relations, and expert testimony preparation.

Anna has also conducted risk-based internal audits for Bank Secrecy Act (BSA) / Anti-Money Laundering (AML) / Sanctions programs and regulatory compliance for international banking and digital asset clients to assess and enhance procedures and monitoring processes for all BSA program areas, including customer due diligence, potentially suspicious activity detection, training, sanctions screening, and transaction monitoring.

Before joining Stout, she was an investigator at a large international investment bank within its Financial Crime Compliance department conducting internal AML investigations across its trading and loan business lines. Anna was also a compliance examiner with the Financial Industry Regulatory Authority (FINRA) conducting cycle trading and financial compliance examinations of broker dealer firms.

Prior to that, she was as an analyst and investigator at the Florida Office of the Attorney General in the Consumer Protection Division. In these roles, she conducted investigations into allegations of deceptive and unfair trade practices and financial crime in connection with civil litigation matters.

Anna has experience collaborating with a range of local, state, and federal agencies, including FINRA, the Securities and Exchange Commission (SEC), the U.S. Department of Justice (DOJ), the Federal Trade Commission (FTC), the Federal Reserve Bank NY (FRBNY), state Attorneys General, and the Cayman Islands Monetary Authority (CIMA), and she regularly works with attorneys, company management, front office, and compliance staff.