| Biography:
Benjamin J. Catalano is a partner in the Litigation and Dispute Resolution
Department and is resident in the New York office of Proskauer Rose LLP.
Benjamin is a member of Proskauer's Financial Services Practice Group. He practices principally in the area of federal securities laws,
blue sky law and SRO rules. He has extensive experience advising broker-dealers,
investment advisors, hedge funds, banks, and exchange markets in all aspects
of compliance with federal and state laws, and the rules of stock exchanges
and other self-regulatory organizations in the securities industry.
Benjamin is a member of the American Bar Association and the Securities Industry
Association.
Benjamin received his J.D. from St. John's University School of Law in 1995
and his B.A. from Boston College in 1986.
Representative Work
Decker v. Yorkton Securities, Inc.: Summary judgment affirmed in favor
of broker that transferred stolen stock certificates. In deciding issue of first
impression under revised Article 8 of the Uniform Commercial Code in effect
in California, appellate court held that in order to hold broker liable to third
party with adverse claim to certificates, plaintiff must show that broker had
subjective knowledge of significant probability of adverse claim.
Writings and Lectures
Author, "Regulation of Non-U.S. Broker-Dealers Doing Business in the United
States," The Metropolitan Corporate Counsel (April 2008)
Speaker, "U.S. Broker-Dealer and Investment Adviser Registration Issues,"
The Strategy Institute, Toronto, Ontario (February 2005)
Author, "Regulation of Non-U.S. Investment Advisors and Portfolio Managers
Doing Business in the United States" (January 2004)
Co-Author, "SEC Issues Guidance on the Recording of Expenses and Liabilities
by Broker-Dealers" (December 2003)
Author, "Amendments to the Books and Records Requirements Applicable to
Broker-Dealers" (July 2003)
Author, "SEC Settles Enforcement Actions Involving Conflicts Of Interest
Between Research And Investment Banking With Ten Of Nation's Top Investment
Firms" (May 2003)
Author, "New SEC Rules Prohibit Improper Influence on the Conduct of Audits"
(May 2003)
Author, "Important Decision for Clearing Brokers and Other Intermediaries
That Handle Certificated Securities" (March 2003)
Speaker, "U.S. Securities Law and Its Impact on Canadian Intermediaries,"
The Canadian Institute, Securities Superconference, Toronto, Ontario (February
2001)
Speaker, "Fixed Income Securities," Securities Industry Association,
Compliance and Legal Division Seminar, San Francisco, California (October 1992)
Author, "The Nature and Extension of the Broker-Dealer's Duty to Supervise
Proprietary and Employee Transactions," Securities Industry Association,
Compliance and Legal Division (April 1992)
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