| Biography:
Kathy H. Rocklen is a partner in Proskauer Rose LLP's Corporate Department, and Co-Chair of the Firm's Financial Services Group. She has thirty years of corporate and securities law experience. Ms. Rocklen joined Proskauer in 2000 after serving as general counsel for a prominent U.K. investment bank, a regulator for the New York Stock Exchange and previous private practice.
Ms. Rocklen counsels major financial institutions, including full service and boutique brokerage firms, domestic and foreign investment banks, investment advisers, investment companies, hedge funds and banks on a broad range of regulatory, transactional, enforcement and litigated matters. In the broker-dealer area, Ms. Rocklen advises clients on SEC, SRO and blue sky regulation and compliance, domestic and cross-border capital markets transactions, mergers, acquisitions and joint ventures, investment product development, internal investigations, civil enforcement proceedings, criminal prosecutions, and securities arbitrations and litigation. Ms. Rocklen counsels investment management companies on regulatory matters and best practices, formation of investment advisers, registered investment funds and hedge funds and defense of enforcement and litigated matters.
Ms. Rocklen also serves as outside general counsel for private and public companies, advising on general corporate and securities matters, as well as on corporate governance, director and officer liability, the conduct of internal investigations, responding to SEC and DOJ inquiries and defending complex securities litigation.
Ms. Rocklen is an Adjunct Professor of Law at Fordham University School of Law, where she teaches Broker-Dealer Regulation. She also is a frequent lecturer on securities regulatory matters.
Ms. Rocklen is a 1973 graduate of Barnard College, with a B.A. degree and a major in psychology. She received her J.D. degree magna cum laude in 1977 from New England School of Law, where she was Managing Editor of the New England Law Review. In 1976, Ms. Rocklen was named one of the Outstanding Young Women of America. Ms. Rocklen has been profiled for many years in Who’s Who in America, Who’s Who of American Women, and Who’s Who in Finance and Business. For the past three years, she was selected as a New York Super Lawyer, recognized as among New York's top attorneys, and recently included in the Best Lawyers in America 2008.
Ms. Rocklen is a former Vice President and Chair of the Executive Committee of the New York City Bar. She is Vice-Chair and member of the Executive Committee of the New York Lawyers for Public Interest. Ms. Rocklen also is a member of the Executive Committee of the Anti-Defamation League New York Regional Board Lawyer's Division and the Advisory Council of the New York Women's Bar Association Foundation, as well as an Executive Member of the Financial Women's Association. For five years, Ms. Rocklen chaired Proskauer’s Diversity Committee.
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