Kathy Rocklen

Proskauer Rose LLP

Kathy H. Rocklen is a partner in the Corporate Department and co-head of the Broker-Dealer and the Financial Institutions Groups. She has 40 years of experience and insights gained through a diverse practice, and understands the brokerage business from the street side, a regulator’s perspective and as a member of a global law firm.

Kathy joined Proskauer in 2000 after serving as general counsel for a leading UK investment bank, a regulator for the New York Stock Exchange, and previous private practice.

Kathy counsels global financial institutions, investment advisers, hedge funds, private equity firms, commercial banks and self-regulatory organizations on 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.

Kathy also serves as outside general counsel for clients, advising on regulated and commercial activities, corporate governance and director and officer liability, conflict and risk management, intercompany transactions and global defense and investigations.

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.

Education :

  • New England School of Law, J.D., 1977
  • Barnard College, Columbia University, B.A., 1973

Admissions & Qualifications : New York

Court Admissions :

  • U.S. District Court, New York, Eastern District
  • U.S. District Court, California, Northern District
  • U.S. District Court, New York, Southern District

Memberships :

  • American Bar Association
  • New York State Bar Association
  • New York City Bar (Former Vice President and Former Chair of Executive Committee)
  • New York Lawyers for Public Interest (Vice Chair, Treasurer and Member of Executive Committee)
  • Securities Industry and Financial Markets Association (SIFMA)
  • Friends of the Auschwitz-Birkenau Foundation of Poland (Member, Board of Directors)


Rate : $$$

What types of cases Attorney Kathy Rocklen & Proskauer Rose LLP can handle?
Proskauer Rose LLP can handle cases related to laws concerning Corporate, Litigation, White Collar Crime, Mergers & Acquisitions, Venture capital, Securities Fraud. We manually verify each attorney’s practice areas before approving their profiles and reviews on our website.
Where is Proskauer Rose LLP located?
Proskauer Rose LLP is located at 11 Times Square, New York, NY 10036, USA. You can reach out to Proskauer Rose LLP using their phone line 212.969.3755. You can also check their website proskauer.com or email them at [email protected].
How much would it cost to hire Proskauer Rose LLP?
Kathy Rocklen lawyer charges are specific to each case. However, they work with contingency fees and its ranges from $$ to $$$. They also provide free consultation [and no obligation quotes] if you are interested to hire.
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Proskauer Rose LLP
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