Kathy represents broker-dealers in arbitration, state and federal court litigation, and regulatory and self-regulatory organization investigations and enforcement actions. She counsels national and regional securities brokerage firms, clearing firms, and officers, employees, and independent contractors in a wide range of legal, compliance, and risk management issues. Kathy's extensive background in the financial services industry enables her to apply unique insight in counseling clients and investigating, developing effective strategies, and resolving customer disputes, regulatory inquiries and investigations, internal investigations, employment matters, and recruiting litigation. Kathy also has extensive experience in professional malpractice, complex litigation, director and officer liability litigation, and employment matters.

Kathy has held senior positions in the legal departments and management of national and regional securities and investment banking firms, including positions as regional counsel, general counsel, director of risk management, and executive vice president. Her in-house experience enables Kathy to approach client needs with a sensitivity to the economic realities of legal services.

Kathy has served on the faculty for training programs for the Financial Industry Regulatory Authority (FINRA) and the American Arbitration Association (AAA), and she regularly conducts compliance and legal presentations for broker-dealers and other financial services firms.