Kathy H. Rocklen is a partner in the Corporate Department and co-head of the Financial Services Group. She has more than 30 years of corporate and securities law experience. Kathy joined Proskauer in 2000 after serving as general counsel for a prominent UK investment bank, a regulator for the New York Stock Exchange, and previous private practice.
Kathy counsels major financial institutions, including full-service and boutique brokerage firms, domestic and foreign investment banks, investment advisers, hedge funds, commercial banks and self-regulatory organizations on a broad range of regulatory, transactional, enforcement and litigated matters. She advises clients on the formation of regulated entities, SEC, SRO and state regulation and compliance, domestic and cross-border capital markets transactions, mergers, acquisitions and joint ventures, investment product development, internal investigations, defense of civil enforcement proceedings and criminal prosecutions, and securities arbitrations and litigation.