Securities

Katten’s securities team includes 150 attorneys across our Securities, Securities Litigation and Financial Services practices, in the United States and London. Our attorneys provide sophisticated regulatory advice to public and private companies and other financial market participants. We have extensive experience with SEC disclosure and other public company requirements, regulation of broker-dealers, securities markets, investment funds and investment advisors, as well as the regulation of futures and derivatives.

We represent clients in all areas of corporate governance matters, ranging from Sarbanes-Oxley compliance to board special committee representation to investor matters, including shareholder proposals. Our transactional attorneys represent public and private companies in securities transactions ranging from the most straightforward finance transactions to complex corporate transactions such as mergers, tender offers, going private transactions and PIPES, as well as private companies seeking to raise capital through securities offerings.

Our securities litigators represent issuers, underwriters and other market professionals in all types of securities proceedings, including shareholder class actions, derivative actions, corporate governance cases, internal investigations and merger-related litigation. We also regularly represent individuals and companies in SEC, stock exchange and FINRA enforcement matters, as well as in investigations and prosecutions by federal and state authorities. Our attorneys include former members of the SEC, CFTC and FINRA, as well as former Assistant United States Attorneys.

Professionals