INTRODUCTION Contributed by: Carl Kennedy, Daniel Davis, Stephen Morris, Matthew Kluchenek, Alexander Kim and Nicholas Gervasi, Katten Muchin Rosenman LLP
Stephen Morris is a financial markets and funds partner at Katten, and has
Alexander Kim is an associate in the financial markets and funds department at Katten, and offers regulatory and general legal guidance to securities broker-dealers, commodities market participants and other players in the financial services industry. He also advises some of the largest and most prominent digital asset trading platforms and blockchain technology companies. Alex’s clients benefit from his extensive technical knowledge of cutting-edge blockchain-based products, gained from his previous experience with a digital asset start-up.
extensive experience as in-house counsel at a leading multinational financial institution and as a trial attorney with the Commodity Futures Trading Commission. As a former senior in-house coverage attorney for the institutional listed derivatives and clearing business of a top-tier broker-dealer/futures commission merchant, Stephen knows regulations surrounding the clearing of futures, equity options and cleared swaps. He counsels on routine documentation to regulatory investigations and enforcement issues, and handles regulatory issues relating to digital assets, digital asset securities and cryptocurrencies. Stephen frequently serves as a FIA Legal & Compliance Conference panel chair. Matthew Kluchenek is a financial markets and funds partner at Katten, whose deep understanding of trading and financial markets enables him to counsel and advocate effectively for clients facing complex allegations of fraud or noncompliance. He regularly advises clients in connection with enforcement inquiries by the Commodity Futures Trading Commission, the Securities and Exchange Commission, the Department of Justice and self-regulatory organisations, such as CME Group and the National Futures Association. Matthew represents clients throughout the financial market ecosystem, including global financial institutions, exchanges, clearinghouses, brokers, dealers, advisers, trading firms and commercial end-users, on a broad array of derivatives issues.
Nicholas Gervasi is an associate in the financial markets and funds department at Katten, and supports financial services clients such as investment advisers, broker-dealers and hedge funds in their regulatory
and transactional matters. He brings a business- oriented approach to complex regulatory challenges. With a background in architecture, Nick is adept at balancing competing interests between the law and client goals. Prior to joining Katten, he gained valuable experience at a nonprofit, where he learned the importance of creative problem-solving within tight budget constraints.
5 CHAMBERS.COM
Powered by FlippingBook