Kate Ross

Kate Ross is an associate in the Government Contracts, Investigations & International Trade practice Group in the firm's New York office.

Areas of Practice

Kate's practice encompasses securities regulation, compliance, and white collar defense. She represents broker-dealers and associated individuals who are the focus of SEC, FINRA and other regulatory investigations on a variety of allegations, including insider trading, unauthorized trading, and other retail brokerage sales practice violations. Kate has also represented banks, broker-dealers, securities professionals and individuals in connection with investigations and inquiries by the Department of Justice and District Attorney’s Offices.

Kate also has experience in general commercial litigation, covering disputes for claims of breach of contract, non-compete, and trade secret misappropriation.

Articles

Corporate and Securities Law Blog

• "New York Commercial Division Justices Provide Dueling Approaches to Discovery Stays in State Court Securities Litigation," August 14, 2019 

Government Contracts & Investigations Law Blog

• "DOJ Cracks Down on COVID-Relief Fraud," July 29, 2020

• "COVID-19 Judicial Task Force Proposes Protocols to Reinstate Jury Trials," June 17, 2020

• "Fifth Circuit: Client Identity Not Privileged in IRS Probe," May 15, 2020

• "New Bill Seeks to Bring Clarity to Insider Trading Law," July 31, 2019 
• "VA Begins Seeking MSPV 2.0 Partners," June 29, 2019 
• "Veterans Are First at the VA Following New Class Deviation Implementing Recent Federal Circuit Mandate," May 29, 2019 
• "'Nanny' Government Rebuffed in Prosecution of Former Barclays Trader," March 29, 2019 
• "FINRA ANNOUNCES 2019 REGULATORY PRIORITIES," January 30, 2019 
• "SEC Tightens Alternative Trading Platform Oversight," September 26, 2018 
• "New York Court of Appeals Rules that Civil Securities Fraud Claims Brought Under Martin Act Are Subject to Three-Year Statute of Limitations," July 19, 2018 
• "Supreme Court Resolves Circuit Split on Scope of Whistleblower Protections," February 28, 2018 
• "The Numbers Don’t Lie: The SEC Pursues a More Streamlined Enforcement Agenda," December 1, 2017