Financial Services Litigation

View as PDF
Overview

Our Clients

Katten's Financial Services Litigation team provides thoughtful, effective and efficient representation to members of the financial services industry ranging from the largest global investment banks to individual investment professionals. Our clients include swaps and foreign exchange dealers, broker-dealers, futures commission merchants, national securities exchanges and their members, sponsors of alternative trading systems, registered investment advisers, hedge fund managers, proprietary trading firms, clearing firms, and officers and directors of these organizations.

Our Services

Katten's financial services litigators, many of whom are former federal prosecutors and regulators, have successfully litigated complex, high-stakes disputes in federal and state courts across the country, and before administrative law judges, business conduct committees and arbitration panels. We understand the structure, risk and regulatory context of the full spectrum of financial products, from exchange-traded securities, options, futures and funds, to the most sophisticated over-the-counter (OTC) swaps and derivatives. We also have a deep understanding of floor-based open-outcry trading venues, fully electronic trading platforms and clearinghouses, and traditional OTC dealer-to-dealer markets.

Katten attorneys frequently represent clients in Securities and Exchange Commission (SEC), Commodity Futures Trading Commission (CFTC) and Department of Justice (DOJ) investigations and enforcement actions, self-regulatory organization (SRO) regulatory disputes, administrative proceedings and private civil litigation. We have particular experience in planning, conducting and reporting the results of internal investigations for boards of directors, audit committees and special litigation committees. We have investigated allegations of insider trading, front-running, market manipulation, improper order internalization, unethical floor trading and sales practices, disruptive trading, mismarking of securities, and inadequate or misleading investment disclosures.

We represent financial services clients in disputes arising out of all aspects of their businesses, including mergers and acquisitions, customer and competitor complaints, shareholder class actions and derivative claims, employee controversies, and intellectual property disputes.

Our industry knowledge and trial skills produce results: The Financial Services Litigation team crafts and executes effective litigation and dispute resolution strategies that are tailor-made to serve our clients' broader business objectives.

Professionals
Newsletters
September 21, 2015
September 14, 2015
August 31, 2015
August 24, 2015
August 17, 2015
August 10, 2015
August 3, 2015
July 27, 2015
July 20, 2015
July 13, 2015
July 6, 2015
June 29, 2015
June 22, 2015
June 15, 2015
June 8, 2015
June 1, 2015
May 18, 2015
May 11, 2015
May 4, 2015
April 27, 2015
April 20, 2015
April 13, 2015
Events
November 16–17, 2016
October 27, 2016
October 20, 2016
8th Annual Conference on Futures & Derivatives
CLE Eligible | Chicago, Illinois
April 7–8, 2016
November 19, 2015
November 5, 2015
FIA Futures and Options Expo | Chicago, Illinois
October 6, 2015
September 25, 2015
April 30, 2015
March 15–18, 2015
October 16, 2014
March 30–April 2, 2014
June 12, 2013
Hedge Funds Under Siege | New York, New York
June 11, 2013
March 17–20, 2013

Recognition

Financial Services, 2012
Honoree, 2015
Investment Funds: Hedge Funds, 2014
Financial Services: Litigation, 2016
Previous Next

Recognition

Financial Services, 2012
Honoree, 2015
Investment Funds: Hedge Funds, 2014
Financial Services: Litigation, 2016
Katten Websites   Careers  |  Alumni  |  Mobile Site
Contact Us   Offices  |  Media Center  |  People  |  Email
Legal Notices   Disclaimer  |  Privacy Policy  |  Attorney Advertising
Contact Us