Katherine Cooper
Partner
Katherine advises on the sale and trading of commodities, derivatives, securities, and digital assets. She also represents clients in related regulatory and grand jury investigations, enforcement actions, and criminal prosecutions.
For more than 20 years, Katherine served in leadership roles at the Commodity Futures Trading Commission, swap dealers, and a financial derivatives exchange. At the CFTC, she rose to senior trial attorney within the Division of Enforcement. Subsequently, she served as the Chief Regulatory Officer of NYSE Liffe US, a CFTC-registered futures exchange. Drawing on that background, she offers market participants trusted guidance in navigating the often-confusing legal and regulatory landscape for financial services. She provides clients not only knowledge about applicable law, but also an understanding of the interplay between market participants trading derivatives and financial products. She does more than advise on compliance issues; she helps clients exploit opportunities to launch new products and services created by changes in the law.
Practice Highlights
Financial derivatives
Compliance leader
Enforcement experience
Admitted to Practice
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New York, 1989
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Virginia, Inactive, 1992
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District of Columbia, Inactive, 1993
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U.S. Court of Appeals 1st Circuit
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U.S. Court of Appeals 2nd Circuit
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U.S. Court of Appeals 4th Circuit
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U.S. District Court Eastern District of New York
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U.S. District Court Southern District of New York
Education
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J.D., University of Virginia School of Law, 1988
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M.A., Philosophy, Columbia University, 1983
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B.A., Philosophy & Economics, Columbia College, 1981
Memberships & Affiliations
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- Chair, ABA Blockchain Modality Working Group of the Innovative Digital Products and Processes (Subcommittee of the Derivatives Law Committee)
- Co-Vice Chair, ABA Derivatives Law Committee, Innovative Digitized Products and Processes
- New York City Bar Association Futures Law Committee
Professional Recognition
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- Named as one of "America's Leading Lawyers for Business" by Chambers USA in Derivatives: Enforcement (Nationwide), 2023
Background
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- Shareholder, McGonigle, P.C., 2018-2022
- Chief Regulatory Officer, NYSE Liffe US, 2008-14
- Senior compliance roles, Barclay's Capital, 2004-08
- Head of Institutional Fixed Income Division Compliance, Citigroup Global Markets, 2002-04
- Senior trial attorney, CFTC, 1996-2002
- Associate, Lankler Siffert & Wohl, 1991-96
- Associate, Sullivan & Cromwell, 1988-1991