Leading Broker-Dealer Attorney David M. Katz Joins Fried Frank's Asset Management Practice

NEW YORK, Sept. 4, 2014 /PRNewswire/ -- Fried, Frank, Harris, Shriver & Jacobson LLP announced today that David M. Katz has joined the Firm as a partner in the Asset Management Practice, resident in the New York office. Mr. Katz brings deep experience in the field of broker-dealer regulation and regularly advises clients in the areas of asset management, capital markets, mergers and acquisitions, cross-border arrangements and activities, financial responsibility, books and records, research and communications, general supervisory and compliance matters, and regulatory enforcement. 

He also advises clients – including domestic and foreign investment banks, trading platforms and firms, hedge funds, private equity firms and insurance groups – on broker-dealer registration and characterization issues, networking arrangements, marketing of alternative asset services, MSRB rules, pay-to-play rules, and related State securities regulation.

"Fried Frank regularly provides counsel to broker-dealers and other financial institutions that will benefit directly from David's impressive legal experience, technical expertise and business judgment," said David Greenwald, chairman of Fried Frank. "His unique perspective complements our range of corporate practices that help clients successfully navigate increasingly dynamic regulatory and economic environments."

Before joining Fried Frank, Mr. Katz was a partner at Sidley Austin and a coordinator of the firm's Securities & Derivatives Enforcement and Regulatory practice.

Mr. Katz received a JD from New York Law School in 1983, an MA in financial statistics from Columbia University in 2002, an MBA with a concentration in finance from The University of Chicago in 1993, and a BA, with honors, from Lehigh University in 1980. He is admitted to practice in the US District Court, District of New Jersey; US District Court, Eastern District of New York; US District Court, Southern District of New York; the District of Columbia; New Jersey; and New York.

Mr. Katz is past chair of the Subcommittee on FINRA Corporate Financing Rules of the American Bar Association, Section of Business Law, Committee on Federal Regulation of Securities. He is co-chair of the Subcommittee on Broker-Dealers and Investment Advisers of the American Bar Association, Section of Business Law, Committee on State Regulation of Securities.

About Fried Frank
Fried, Frank, Harris, Shriver & Jacobson LLP is a leading international law firm with offices in New York; Washington, DC; London; Paris; Frankfurt; Hong Kong; and Shanghai. Approximately 450 Fried Frank lawyers regularly serve the world's leading corporations and financial institutions with regard to their most critical legal needs and business opportunities. More information can be found at www.friedfrank.com.

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