Kathy H. Rocklen

Kathy Rocklen is a corporate and securities attorney and strategic consultant with four decades of experience advising on broker-dealer regulatory compliance and enterprise risk management. Ms. Rocklen has led high-profile engagements for major U.S. and foreign financial institutions, offering trusted legal counsel and crisis management support. She brings deep expertise in navigating the intricate and evolving global regulatory landscape and is recognized for her ability to deliver insightful counsel guided by sound judgment. At FTI Consulting, Ms. Rocklen provides thought leadership and strategic advice on U.S. and global compliance, risk and governance matters.

Ms. Rocklen previously served as Partner and Co-Head of the Broker-Dealer and Financial Institutions Group at Proskauer Rose LLP, where she advised domestic and international clients on the formation and conduct of regulated entities, as well as SEC, self-regulatory organization (“SRO”) and state compliance. Additionally, she provided guidance on the cross-border regulatory framework for capital markets and M&A transactions, conducted internal investigations and led response teams on multijurisdictional regulatory inquiries. She also served as outside counsel for private and public companies, supporting business development, risk mitigation and governance strategy.

Ms. Rocklen is an Adjunct Professor at Fordham Law School, where she teaches broker-dealer regulation, and consults at Bates Group. Her previous positions included serving as General Counsel and Corporate Secretary for the UK bank, S.G. Warburg, and as Interpretive Counsel at the New York Stock Exchange, further informing her leadership in securities regulation. She also has significant nonprofit board leadership experience, including as a Trustee and Audit Committee Chair at Barnard College and former Vice President of the New York City Bar Association. 

Relevant Experience:

• Develops regulatory governance frameworks for global financial institutions
• Advises foreign banks and broker-dealers on conducting securities activities in the United States under SEC Rule 15a-6
• Facilitates the formation, acquisition, registration and expansion of regulated entities for U.S. and foreign firms
• Collaborates on the establishment of cross-border research protocols
• Directs the response strategy for regulated entities facing complex U.S. and cross-border investigations 

Awards & Recognition:

• Best Lawyers in America (2008–2023) 
• Top 50 Women, New York Metro Super Lawyers (2019) 
• Who’s Who in America (1996–2014) 
• Financial Services Regulatory Broker Dealer Nationwide, Chambers USA (2011)