Curing Ambiguities and Defects Without Noteholder Vote: Not So Fast
Funds Talk: October 2016
Arielle Warshall Katz represents corporate executives and public and private companies in white collar criminal investigations, governmental and regulatory inquiries, internal investigations, trials, and related civil litigation. Ms. Katz represents clients in matters involving the U.S. Attorney’s Office, Department of Justice, Securities and Exchange Commission, Consumer Financial Protection Bureau, FINRA, and other federal and state regulators. She has served as the lead associate in many sensitive and high-profile cases involving a broad range of substantive legal and compliance issues, including allegations of securities and accounting fraud, Foreign Corrupt Practices Act violations, bribery, insider trading, money laundering, obstruction of justice, and unfair and deceptive business practices. Ms. Katz has handled numerous investigations involving whistleblower complaints, retaliation claims, and violations of internal policies and procedures and criminal and civil regulatory laws. As a member of the firm’s Cybersecurity, Privacy and Data Protection practice, she also frequently advises clients on cybersecurity risks and incident response. Ms. Katz was recently part of the trial team representing a director of a global investment firm in a high-profile month-long insider trading jury trial in the Southern District of New York. Some of her other notable representations include defending the head of a multibillion-dollar investment fund indicted on Foreign Corrupt Practices Act violations; representing members of the audit committee of a large financial institution in an SEC investigation involving accounting irregularities; representing the chief executive officer of a broker-dealer in a FINRA arbitration; and defending financial services firms in investigations by the SEC and CFPB and in class action litigation. Ms. Katz’s work on behalf of clients also includes litigating complex business matters in federal and state courts and in arbitrations, with particular emphasis on cost-effective discovery, fact development and trial work. She counsels and works with clients on developing company policies and employee trainings, and has worked in collaboration with auditors and disclosure counsel. She regularly advises clients on data collection and discovery, including the use of predictive coding and technology-assisted review, and has successfully argued at discovery conferences in federal court. Ms. Katz also has extensive experience with international discovery matters involving a number of foreign jurisdictions, including Argentina, Brazil, the Cayman Islands, Italy, Luxembourg and Switzerland. Ms. Katz is an active participant in the firm’s pro bono practice. In 2010, she was awarded The Legal Aid Society’s “Pro Bono Publico” Award for Outstanding Pro Bono Service. She participated in The Legal Aid Society Criminal Defense Pro Bono Project, where she served as lead counsel in a wide array of state criminal matters and handled arraignments, court appearances, motions and pleas. Ms. Katz currently serves as the Chair of Business Development and Networking Programs for the firm’s Women’s Initiative Committee. New York Super Lawyers recognized Ms. Katz as a Rising Star from 2014 through 2016 and one of its Top Women Attorneys in New York in 2014 and 2015. Prior to joining Kramer Levin, Ms. Katz worked at the National Hockey League, where she assisted in the production of the NHL All-Star Game.