Contact

Arthur Hahn

National Practice Chair

p / 312.902.5241
Fred Santo

New York Practice Chair

p / 212.940.8720

Highlights

The next generation of leaders

Lance Zinman, a partner in the Financial Services Practice, is profiled in Chicago Lawyer as one of six up-and-coming leaders at Chicago law firms.

Click here to read more.

Financial Services

The Katten Muchin Rosenman LLP Financial Services Practice represents a large number of the world’s premier hedge funds and money managers, major investment and commercial banks, leading firms and insurance companies, and several international exchanges. The firm’s more than 60 financial services attorneys regularly address the latest innovations in financial products and business strategy and the latest changes in the regulatory environment. This depth of experience with both institutional users of the markets and financial intermediaries allows the firm’s financial services attorneys to provide creative ideas while being responsive to the practical and economic needs of its clients.

Professionals

Janet M. Angstadt	Chicago	Partner
Steven L. Bashwiner	Chicago	Partner
Evan A. Belosa	New York	Associate
Edward Black	London	Special Counsel
Russell M. Black	Charlotte	Partner
Adam R. Bolter	Washington, D.C.	Associate
Henry Bregstein	New York	Co-Managing Partner
Kimberly Broder	New York	Associate
Denise S. Burn	Chicago	Partner
Madelyn Calabrese	New York	Associate
J. Bradley Clair	New York	Associate
Rachel B. Coan	New York	Partner
Ariele L. Cohen	New York	Associate
Wendy E. Cohen	New York	Special Counsel
Martin Cornish	London	Partner
Howard E. Cotton	New York	Partner
Jill E. Darrow	New York	Partner
Marcia N. Dobbs	New York	Associate
Daren R. Domina	New York	Partner
Steven G. Eckhaus	New York	Partner
Timothy Elliott	Chicago	Special Counsel
Kevin M. Foley	Chicago	Partner
Jeff J. Friedman	New York	Partner
Vanessa L. Friedman	Chicago	Associate
Louis Froelich	New York	Associate
Robert W. Gottlieb	New York	Partner
Jack P. Governale	New York	Partner
Lewis Greenbaum	Chicago	Partner
Christina Grigorian	Washington, D.C.	Associate
Robert Grundstein	New York	Associate
Arthur W. Hahn	Chicago	Partner
Erica Tina Helfer	Chicago	Staff Attorney
Noah Heller	New York	Partner
Christian B. Hennion	Chicago	Associate
Gary W. Howell	Chicago	Partner
Daniel S. Huffenus	Charlotte	Managing Partner
Charlton D. Hunley	Charlotte	Staff Attorney
Joseph Iskowitz	New York	Associate
Andrew L. Jagoda	New York	Partner
Howard J. Kashner	New York	Counsel
Christian T. Kemnitz	Chicago	Partner
Stewart T. Kusper	Chicago	Partner
David H. Landau	New York	Partner
Nina Lieberman	New York	Special Counsel
Jose Ignacio Luzarraga	New York	Special Counsel
Andrew MacLaren	London	Partner
Barrett C. Mallos	Charlotte	Associate
Robert M. McLaughlin	New York	Partner
Samuel Mirkin	New York	Associate
Kathleen H. Moriarty	New York	Partner
Raymond Mouhadeb	New York	Associate
Marilyn Selby Okoshi	New York	Partner
Ross Pazzol	Chicago	Partner
Joshua A. Penner	Chicago	Associate
Daniel S. Radden	New York	Associate
Edward J. Rayner	New York	Partner
Thomas H. Rice	New York	Associate
Kenneth M. Rosenzweig	Chicago	Partner
Fred M. Santo	New York	Partner
John David Semones	Charlotte	Associate
Jason P. Shaffer	Chicago	Partner
Steven A. Shapiro	Chicago	Partner
Peter J. Shea	New York	Partner
Stuart P. Shulruff	Chicago	Partner
James A. Silverglad	New York	Associate
Leah V. Silverman	New York	Associate
Marybeth Sorady	Washington, D.C.	Partner
Marc M. Tract	New York	Partner
James D. Van De Graaff	Chicago	Partner
Zack Wagman	Chicago	Partner
Milton S. Wakschlag	Chicago	Partner
Blair H. Wallace	New York	Associate
Elizabeth Fleming Weber	Chicago	Partner
Michael S. Weisman	Chicago	Partner
Robert Weiss	New York	Partner
Jeffrey M. Werthan	Washington, D.C.	Partner
Meryl E. Wiener	New York	Partner
Tommy Wu	New York	Associate
Heather N. Wyckoff	New York	Associate
Gregory E. Xethalis	New York	Associate
Allison Yacker	New York	Associate
Natalya S. Zelensky	New York	Associate
Lance A. Zinman	Chicago	Partner
Krassimira Zourkova	Chicago	Partner

March 12, 2010	Reminder: Form D Updates May Be Required
March 12, 2010	Corporate and Financial Weekly Digest - March 12, 2010
March 5, 2010	SEC Adopts New Short Sale Price Test Rules
March 4, 2010	New FBAR Guidance and Proposed Regulations Issued
February 26, 2010	SEC Adopts New Short Sale Price Test
2010	Negotiating C-Level Employment Agreements after the Rescue Steven G. Eckhaus
February 8, 2010	Foreign Listed Stock Index Futures and Options Approvals Chart
January 29, 2010	Corporate and Financial Weekly Digest - January 29, 2010
January 29, 2010	SEC Proposes New Market Access Rule and Approves Modifications to the Sponsored Access Rule of the Nasdaq Stock Market
January 28, 2010	Partner Steven Eckhaus Quoted in Wall Street Journal on Bank Pay
January 27, 2010	CFTC Proposes Position Limits and Exemptions for Certain Energy Contracts
January 25, 2010	SEC Publishes Equity Market Structure Concept Release with Focus on High Frequency Trading, Co-Location, Market Data Latencies and Undisplayed Liquidity
January 11, 2010	SEC Adopts Custody Rule Changes for Investment Advisers
December 11, 2009	Partner Henry Bregstein Appears on CBNC Discussing Hedge Funds After Madoff
November 19, 2009	SEC Proposes Rules and Amendments Regarding Regulation of Non-Public Trading Interest (“Dark Pools”)
November 6, 2009	Associates Allison Yacker and Blair Wallace Author Article in Derivatives Week on Collateral Management
November 5, 2009	Partner Rachel Coan Quoted in The Hedge Fund Law Report on Life Settlement Securitizations
October 26, 2009	Insider Trading: A Primer
September 2009	Allison Yacker and Blair Wallace Author Article in The Hedge Fund Journal
September 21, 2009	IRS Announces One-Time Extension for Voluntary Disclosure
August 31, 2009	SEC Issues Important New Reg SHO FAQs Concerning “Long” and “Short” Order Marking and Locates for Foreign Broker-Dealers
August 27, 2009	Power of Attorney Law Changes in New York on September 1, 2009
August 18, 2009	SEC Reopens Comment Period for Short Sale Price Test and Proposes “Alternative Uptick Rule”
August 13, 2009	Treasury Proposes Legislation Overhauling Regulation of Over-the-Counter Derivatives
August 12, 2009	IRS Extends FBAR Filing Date
August 2009	Partner Marilyn Selby Okoshi Recognized by US Legal 500, Asialaw Leading Lawyers
August 5, 2009	Effects of the Cuban Decision on the Misappropriation Theory of Insider Trading
August 5, 2009	66 Katten Attorneys Named to 2010 List of Best Lawyers in America
July 30, 2009	SEC Makes Short Selling Rule Permanent and Plans to Increase Short Sale Transparency
July 28, 2009	Partners Kathleen Moriarty, Peter Shea and Associate Gregory Xethalis Attend NYSE Opening Bell
July 23, 2009	Q&A With Katten's Steven Eckhaus
July 2009	Three Prestigious Publications Recognize Partner Henry Bregstein as a Leader in Hedge and Investment Funds
July 16, 2009	Administration Bill Would Require Managers of Hedge and Other Private Funds to Register as Investment Advisers
July 13, 2009	U.S. Treasury Names Asset Managers and Launches Legacy Securities Program
July 10, 2009	Deadline Established to Assert Claims Against Lehman Brothers
June 30, 2009	Katten’s Marilyn Selby Okoshi Recognized by Asialaw Leading Lawyers for Capital Markets and Corporate Finance for Fourth Straight Year
June 24, 2009	SEC’s Proposed Amendments to Custody Rule Would Require Surprise Exams and Internal Control Reports
June 17, 2009	Novel Action Raises Questions in Delaware on Stockholder Power to Directly Remove Officers
June 2009	The next generation of leaders
June 16, 2009	U.S. Investors in Offshore Hedge Funds Should File the Report of Foreign Bank and Financial Accounts (FBAR)
June 15, 2009	Five Katten Practices Recommended by Legal 500 in 2009 U.S. Edition
June 14, 2009	Partner Rachel Coan Quoted in JSOnline on Life Insurance Premium Financing
June 12, 2009	Katten Lands 14 Practices and 37 Attorneys in Chambers USA Guide
June 11, 2009	Treasury Department and SEC Move Forward on Executive Compensation Reform
June 10, 2009	IRS Temporarily Relaxes FBAR Filing Requirements for Non-U.S. Persons
May 20, 2009	Federal Reserve Adds Legacy CMBS to TALF
May 20, 2009	Katten’s Steven Eckhaus Named Among 100 Most Powerful Corporate Employment Attorneys by Lawdragon
May 15, 2009	U.S. Treasury Proposes Regulatory Framework for OTC Derivatives
May 4, 2009	Expansion of TALF to Newly Issued CMBS Creates Opportunities for TALF Investors, Commercial Mortgage Lenders and Property Owners
April 2009	SEC Approves Credit Default Swap Exemptions Kenneth M. Rosenzweig, Ross Pazzol, Timothy Elliott
April 30, 2009	SEC Proxy Access Proposals Expected in May
April 16, 2009	TARP Capital Purchase Program Expanded to Include Mutual Holding Companies
April 9, 2009	SEC Votes to Seek Comment on Five Alternative Short Sale Rule Proposals
April 8, 2009	Partners Kathleen Moriarty and Peter Shea Attend NYSE Opening Bell
March 27, 2009	Delaware Supreme Court Reconfirms That Bad Faith Requires Intentional Dereliction
March 26, 2009	Treasury Unveils Public-Private Investment Program for Legacy Assets
March 20, 2009	IRS Guidance Addresses Theft Loss Deduction for Investors in Ponzi Schemes
March 18, 2009	Federal Reserve Launches TALF, Removes Executive Compensation Limits and Revises Terms
March 18, 2009	Stimulus Bill Allows Deferral of COD Income Realized from Repurchases of Debt at a Discount
March 17, 2009	Davis v. HSBC Bank Nevada, Best Buy Stores, L.P., et al.: Ninth Circuit Clarifies “Principal Place of Business” Test for National Corporations Seeking Removal
March 12, 2009	Proposed Addition of CMBS to TALF May Create Opportunities for Commercial Mortgage Loan Originators, Servicers, Borrowers and Investors
March 11, 2009	New Advantages for Unions Under the Employee Free Choice Act
March 11, 2009	Hot Topics in the Lehman and Madoff Broker-Dealer Liquidations
March 10, 2009	Numerous Proposed 2009 Amendments to the Delaware General Corporation Law Reflect Heightened Focus on Governance Issues
March 4, 2009	Fund Investing Enters the Internet Age: New Fund Prospectus Rules
March 3, 2009	Treasury’s New Capital Assistance Program to “Stress Test” and Provide Billions to Banks
February 28, 2009	India Update: Are P-Notes OK or Not OK? Marilyn Selby Okoshi
February 26, 2009	Stimulus Act Expands Executive Compensation Restrictions for TARP Recipients
February 25, 2009	Madoff Litigation Conference
February 20, 2009	Avoiding Charges of Board Risk Assessment Impairment: SEC to Review Bank Boards’ Risk Oversight
February 17, 2009	Electronic Filing of Form D and Amendments Becomes Mandatory on March 16
February 17, 2009	Katten Welcomes Rachel Coan as New York-based Financial Services Partner
February 12, 2009	Federal Reserve and Treasury Provide TALF Pricing, Haircuts and Other Further Revised Terms
February 10, 2009	CFTC Staff Issues Advisory Regarding Recordkeeping Requirements
February 10, 2009	Treasury Department Unveils New Financial Stability Plan
January 27, 2009	Treasury Releases Additional Executive Compensation Guidance for TARP Capital Purchase Program
January 16, 2009	TARP Capital Purchase Program Expanded to Include Qualifying S Corporations
January 16, 2009	SEC Approves Credit Default Swap Exemptions
January 7, 2009	Making the Most of a Difficult Market: Public Offering Structures That Maximize Flexibility and Limit Risk
December 23, 2008	Federal Reserve Announces Revised TALF Terms
December 17, 2008	Katten Forms Madoff Securities Task Force
December 5, 2008	Partner Marilyn Selby Okoshi Quoted in National Law Journal on Hedge Funds
December 1, 2008	Federal Reserve Supports Consumer ABS Issuance by Creating Term Asset-Backed Securities Loan Facility (TALF)
November 18, 2008	Privately Held Financial Institutions Offered TARP Capital Purchase Program Funds
November 17, 2008	Lehman Seeks to Establish Expedited Procedures for Assumption, Assignment and Termination of Derivative Contracts
November 12, 2008	Treasury Secretary Paulson TARP Update
November 11, 2008	Payment on Grandfathered 457A Deferrals Can Be Extended Through 2017
November 7, 2008	OFAC Issues Guidance Regarding Scope of OFAC Compliance Programs
October 30, 2008	In re Bilski Federal Circuit Decision Impacts Business Method Patents
October 28, 2008	SEC Adopts Final Short Selling Rules
October 28, 2008	Partner Kathleen Moriarty Mentioned on Nasdaq.com
October 15, 2008	U.S. Banks and Thrifts Offered Billions of Federal Funds Under Treasury’s Capital Purchase Program
October 15, 2008	Partner Steven Eckhaus Quoted in Wall Street Journal on the Impact of the Emergency Economic Stabilization Act on Executive Pay
October 13, 2008	Summary of Final Legislation — Emergency Economic Stabilization Act of 2008 (EESA) / Troubled Asset Relief Program (TARP)
October 13, 2008	Analysis of the TARP: Challenges and Opportunities for Your Business
October 6, 2008	Congress Passes Legislation Eliminating Offshore Fund Deferrals by Investment Managers
October 1, 2008	Federal Reserve Makes it Easier to Invest in Banks and Bank Holding Companies
September 29, 2008	Emergency Economic Stabilization Act of 2008/Troubled Asset Relief Program (TARP)
September 23, 2008	50 Katten Attorneys Named to 2009 List of Best Lawyers in America
September 19, 2008	FSA Issues Short Position Rules
September 2008	New Emergency Short Sale Rules Effective September 18, 2008
September 2008	Stockholder Meeting Advance Notice Protections—Do They Mean What You Think?
September 16, 2008	Partner Kathleen Moriarty Quoted on CNNMoney.com on Lehman Acquisition
September 12, 2008	Corporate and Financial Weekly Digest - September 12, 2008
September 8, 2008	ISDA to Publish Protocol for Fannie, Freddie CDS
August 27, 2008	Katten’s Lance Zinman Named Among Law Bulletin Publishing’s “40 Under Forty” for 2008
August 2008	SEC Proposal Outlines Duties of Mutual Fund Boards in Monitoring Best Execution
August 7, 2008	Legal 500 Recommends Five Katten Practices in 2008 United States Edition
August 2008	Second “ComplianceAlert” Cites Common Deficiencies, Effective Practices of Advisers, Funds and Brokers
July 2008	SEC Considers Expansion of the Applicability of Its Recent Short Sale Restrictions
July 2008	SEC Issues Emergency Order to Limit “Naked” Short Sales in Certain Financial Securities
June 12, 2008	Katten Adds Steven Eckhaus as Partner in Financial Services Practice
June 2008	Treatment of Customers and Financial Counterparties in Stockbroker Liquidations Under SIPA and the Bankruptcy Code
April 14, 2008	SEC Focuses on Advisers’ Controls Over Valuation
March 24, 2008	SEC Proposes New Rules to Streamline ETF Formation
March 13, 2008	Katten Adds Meryl Wiener as New York-Based Partner in Financial Services Practice
March 12, 2008	Katten Bolsters Financial Services Practice with Addition of Noah Heller in New York Office
February 23, 2008	Partner Henry Bregstein Quoted in Wall Street Journal on New Threats to Hedge Fund Investors
January 1, 2008	Partner William Natbony Quoted in Financial Services Law 360 on Finance Legislation to Watch in 2008
December 20, 2007	Katten Adds Ross Pazzol as Partner in Financial Services Practice
December 14, 2007	Katten Represents FocusShares in IPO of Four New ETFs
November 13, 2007	Partner William Natbony Quoted Throughout New Book on Activist Hedge Fund Managers
September 27, 2007	13 Katten Partners Named Finalists for Lawdragon 500 Leading Lawyers in America
May 9, 2007	Katten Partner Marilyn Selby Okoshi Named Among Leading Lawyers for Capital Markets and Corporate Finance in Asia-Pacific Region for Second Straight Year
March 27, 2007	Katten Continues to Grow Financial Services Practice with Addition of Kathleen Moriarty

July 19, 2010	Hedge Fund Auditing, Accounting and Administration Forum Presented by Financial Research Associates, LLC New York, New York
May 24, 2010	4th Annual Hedge Funds Investments Japan Congress Presented by the International Quality & Productivity Centre Tokyo, Japan
April 14, 2010	A Crisis is a Terrible Thing to Waste – Is Now the Time to Fix Our Financial System? Presented by 100 Women in Hedge Funds New York, New York
April 12, 2010	Inside ETFs - Europe Conference Presented by IndexUniverse.eu Amsterdam,
April 09, 2010	Futures & Derivatives 2010 Presented by the New York City Bar New York, New York
March 18, 2010	New SEC Initiatives Affecting Equity and Options Trading New York, New York
March 16, 2010	Infected Hedge Funds: Rights and Remedies Presented by Katten Muchin Rosenman LLP New York, New York
March 10, 2010	Keeping Up With the Changes: Regulation and Negotiation Presented by the CBA Futures & Derivatives Law Committee Chicago, Illinois
March 09, 2010	Proprietary and High Frequency Trading on US & European Markets London, United Kingdom
March 03, 2010	Reinsurance & Regulations: Acquisitions of Insurance Assets & Risks Presented by the Association of the Bar of the City of New York New York, New York
March 02, 2010	Commodity Pool Operator/Commodity Trading Advisor Regulatory Seminar Presented by the National Futures Association Chicago, Illinois
February 25, 2010	New SEC Initiatives Affecting Proprietary Trading Chicago, Illinois
February 24, 2010	Reassessing Insurance Strategies in a New Era of Risk and Uncertainty New York, New York
February 18, 2010	Maximize Your Profits- Tax Strategies & Legal Structures Presented by Advantage Futures Chicago, Illinois
February 03, 2010	Changes in Private Equity and New Opportunities New York, New York
January 10, 2010	3rd Annual Inside ETFs Conference Presented by the Exchange-Traded Funds Report and Financial Advisor Boca Raton, Florida
January 07, 2010	Congress and RIAs: The Latest Presented by Citrin Cooperman's Financial Services Group New York, New York
December 11, 2009	CNBC's Squawk Box
December 08, 2009	EU’s Latest Proposals for an Alternative Investment Fund Manager Directive London
December 06, 2009	The 14th Annual Super Bowl of Indexing Presented by Information Management Network Phoenix, Arizona
December 03, 2009	Financial Regulatory Reform: Current Developments Chicago, Illinois
November 23, 2009	Hedge Fund Enforcement & Regulatory Developments 2009 Presented by the Practising Law Institute New York, New York
November 03, 2009	Absolute Return Symposium 2009 Presented by HedgeFund Intelligence New York, New York
October 27, 2009	Current Status Report on the Redesign of the Architecture of Financial Regulation New York, New York
October 25, 2009	The 15th Annual ABS East Conference Presented by the Information Management Network Miami, Florida
October 21, 2009	Off the Bench and Back in the Game: What Investors Are Looking for in the New Regulatory Environment Presented by Katten Muchin Rosenman LLP and Rothstein Kass New York, New York
October 13, 2009	U.S. Regulatory Proposals Affecting Fund Managers and Update on EU AIFM Directive Presented by Katten Muchin Rosenman Cornish LLP London
October 07, 2009	Hedge Funds 2009 Presented by the Practising Law Institute New York
October 06, 2009	Do Non-Traditional ETFs Belong in Client Portfolios? Presented by InvestmentNews
October 05, 2009	Asset Allocation Forum in Alternatives 2009 Presented by Catalyst Financial Partners New York
September 30, 2009	IQ Finance Life Settlement and Longevity Summit Presented by Finance IQ, a division of IQPC New York, New York
September 17, 2009	Cocktails & Commentary: Hedge funds and the proposed regulatory reforms Presented by Hedge Funds Care, Katten Muchin Rosenman LLP and Grant Thornton LLP New York, New York
September 15, 2009	Leverage Session 6: A New Era of Regulations Presented by 100 Women in Hedge Funds New York
September 10, 2009	The Draft EU Alternative Investment Funds Directive Current Proposals and the Impact for US Managers/Promoters Selling Products in Europe New York, New York
September 02, 2009	Joint Meeting on Harmonization of Regulation Presented by the Commodity Futures Trading Commission and the Securities and Exchange Commission Washington
July 14, 2009	Insider Trading 2009: The Challenge of Navigating Marketplace Information, Rumors and Regulators New York, New York
June 25, 2009	OTC Derivatives – Current Developments Chicago, Illinois
June 16, 2009	GAIM International 2009 Presented by the International Centre for Business Information Monaco
May 18, 2009	Developing Issues in Derivatives Law 2009 Presented by West LegalEdcenter and The New York City Bar New York
May 13, 2009	Conference on the Regulation of Futures, Derivatives and OTC Products Presented by the FIA Law and Compliance Division National Harbor, Maryland
May 12, 2009	The Future of OTC Derivatives New York, New York
May 01, 2009	Ninth Annual Westchester Chapter Tax, Estate, and Financial Planning Conference Presented by the New York Society of CPAs Armonk, New York
April 30, 2009	5th Annual Global ETF Awards Dinner and Workshop Presented by Exchangetradedfunds.com New York
April 28, 2009	Tax Strategies and Legal Structures Seminar Presented by Advantage Futures Chicago
April 28, 2009	EuroHedge Summit 2009 Presented by HedgeFund Intelligence Paris
April 21, 2009	Hedge Funds in a Changing Environment New York, New York
April 20, 2009	Alternative Investing Forum Spring 2009 Presented by Catalyst Financial Partners New York
April 16, 2009	Proprietary Trading Follow-Up Roundtable Chicago, Illinois
April 02, 2009	Across the Table from the SEC: Defending and Handling SEC Investigations New York, New York
March 30, 2009	9th U.S. World Series of ETFs Southeast Presented by the Information Management Network Coral Gables, Florida

Related Practices

Private Investment Funds

Structured Products

Tax Planning