Kathy H. Rocklen

Adjunct Professor of Law

Email: Krocklen@proskauer.com
Telephone: 212-969-3755
Fax: 212-969-2900

Proskauer Rose LLP
1585 Broadway
New York, NY 10036

Kathy H. Rocklen is a partner in Proskauer Rose LLP's Corporate Department, resident in the Firm's New York office. She has over twenty-five years of corporate and securities law experience.

Ms. Rocklen joined Proskauer in 2000 after serving as general counsel for a prominent U.K. investment bank, a regulator for the New York Stock Exchange and previous private practice. She heads Proskauer's Broker-Dealer and Investment Management Group, which is believed to represent the broadest list of securities firms in the nation.

Ms. Rocklen counsels major financial institutions, including full service and boutique brokerage firms, domestic and foreign investment banks, investment advisers, investment companies, hedge funds and banks on a broad range of regulatory, transactional, enforcement and litigated matters. In the broker-dealer area, Ms. Rocklen advises clients on SEC, SRO and blue sky regulation and compliance, domestic and cross-border capital markets transactions, mergers, acquisitions and joint ventures, investment product development, internal investigations, civil enforcement proceedings, criminal prosecutions, and securities arbitrations and litigation. Ms. Rocklen counsels investment management companies on regulatory matters and best practices, formation of investment advisers, registered investment funds and hedge funds and defense of enforcement and litigated matters.

Ms. Rocklen also serves as outside general counsel for private and public companies, advising on general corporate and securities matters, as well as on corporate governance, director and officer liability, the conduct of internal investigations, responding to SEC and DOJ inquiries and defending complex securities litigation.

Ms. Rocklen is an Adjunct Professor of Law at Fordham University School of Law, where she teaches Broker-Dealer Regulation. She also is a frequent lecturer on securities regulatory matters.

Ms. Rocklen is a 1973 graduate of Barnard College, with a BA degree and a major in psychology. She received her JD degree magna cum laude in 1977 from New England School of Law, where she was Managing Editor of the New England Law Review. In 1976, Ms. Rocklen was named one of the Outstanding Young Women of America. Ms. Rocklen has been listed for many years in Who's Who in America, Who's Who of American Women, and Who's Who in Finance and Business.

Ms. Rocklen is a former Vice President and Chair of the Executive Committee of the Association of the Bar of the City of New York. She is a member of the Board of Directors of the New York Lawyers for Public Interest. Ms. Rocklen also is a member of the Executive Committee of the Anti-Defamation League New York Regional Board Lawyer's Division and the Advisory Council of the New York Women's Bar Association Foundation.

Professional Affiliations

-Association of the Bar of the City of New York, Vice President, 2001-2002

-New York State Bar Association, Member

-New York Women's Bar Association, Member


-New England School of Law, JD, magna cum laude, 1977

-Barnard College, Columbia University, BA, 1973