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.
In addition, Kathy 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.
Kathy is an adjunct professor of law at Fordham University School of Law, where she teaches broker-dealer regulation. She also serves as Vice Chair and Treasurer of New York Lawyers for the Public Interest, one of New York’s leading not-for-profit civil rights law firms, and is a former Vice President of the New York City Bar. Kathy is the past Chair of Proskauer’s Diversity Committee.