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Katten
Department profile | Katten
Financial Services Regulation: Broker Dealer (Compliance & Enforcement)

Chambers Review

Provided by Chambers

Financial Services Regulation: Broker Dealer (Compliance & Enforcement) - USA - Nationwide

4
Band 4

What the Team is Known For

Katten has a recognized financial services advisory team which is highlighted for its expertise in consumer finance litigation. The firm regularly defends clients in an array of state and federal class action cases, with specific strength on matters related to fees. The team is noted for its representation of an array of banks and credit unions. The firm has additional capacity advising on broker-dealer regulations.

Work Highlights

  • Katten has represented banks and credit unions in class actions alleging the assessment of supposedly improper overdraft fees.

Strengths

Provided by Chambers

Katten has excellent intel on what regulators are thinking and what's coming down the pike.

Financial Services Regulation: Broker Dealer (Compliance & Enforcement) respondent
USA

Katten is highly responsive to all needs and flexible.

Financial Services Regulation: Broker Dealer (Compliance & Enforcement) respondent
USA

The firm has deep subject matter expertise.

Financial Services Regulation: Broker Dealer (Compliance & Enforcement) respondent
USA

The Katten bench is very capable of handling a wide breadth of issues and is practical in the advice it provides.

Financial Services Regulation: Broker Dealer (Compliance & Enforcement) respondent
USA

Notable Practitioners

Provided by Chambers

Stuart Richter
2
Stuart Richter
2
Band 2

Stuart Richter's representation of Katten's consumer finance clients revolves around the defense of class action lawsuits.

He is a masterful litigator in class action suits.

He is known in the industry for his drive for results.

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Susan Light
2
Susan Light
2
Band 2

Susan Light is recognized for her extensive practice representing broker-dealer clients in investigations and enforcement actions by FINRA.

She is hyper-responsive and provides practical advice.

Susan covers enforcement matters with expertise, insight and practical guidance.

Susan Light is my go-to on all things FINRA.

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Wayne Aaron
2
Wayne Aaron
2
Band 2
Clients rely on Wayne Aaron for representation during high-stakes enforcement proceedings and regulatory investigations. He routinely advises broker-dealers on the best response to actions initiated by the SEC and FINRA.

Wayne is extremely competent, practical and accommodating.

His excellent regulatory counsel and analysis has been an invaluable resource.

He has a deep understanding of our business and broker-dealer regulations.

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Camille Brooks
U
Camille Brooks
U
Up and Coming

Camille Brooks has a burgeoning practice representing banking and credit union clients in a variety of class action matters.

She has an excellent understanding of the subject matter and is able to quickly pivot to our strongest position as new facts and questions arise.

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Ranked Lawyers at
Katten

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Band

USA - Nationwide

Financial Services Regulation: Broker Dealer (Enforcement)
Susan Light
2
Susan Light
2
Band 2
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Wayne Aaron
2
Wayne Aaron
2
Band 2
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Financial Services Regulation: Consumer Finance (Litigation)
Stuart Richter
2
Stuart Richter
2
Band 2
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Camille Brooks
U
Camille Brooks
U
Up and Coming
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