• Arielle Warshall Katz represents corporate executives, boards of directors, and public and private companies in regulatory and criminal investigations, trials, and related proceedings involving the U.S. Attorney’s Office, Department of Justice (DOJ), Securities and Exchange Commission (SEC), Consumer Financial Protection Bureau (CFPB), FINRA (Financial Industry Regulatory Authority), and other regulatory agencies. She has advised clients in the United States and abroad in many sensitive and high-profile cases involving a wide range of legal and compliance matters, including allegations of securities and accounting fraud, insider trading, Foreign Corrupt Practices Act (FCPA) violations, money laundering, obstruction of justice, and unfair business practices.

    Arielle frequently conducts corporate internal investigations, including investigations involving whistleblower complaints, retaliation claims, and violations of internal policies and procedures and criminal and civil regulatory laws. Arielle is also a member of the firm’s Cybersecurity, Privacy and Data Protection group and counsels clients on cybersecurity risks and incident response.

    Arielle was recently part of the trial team representing a director of a global investment firm in a high-profile monthlong 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.

    Arielle’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 training, and she 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. Arielle also has extensive experience with international discovery matters involving a number of foreign jurisdictions, including Argentina, Brazil, the Cayman Islands, Italy, Luxembourg and Switzerland.

    Arielle 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.

    Arielle currently serves as the chair of business development and networking programs for the firm’s Women’s Initiative Committee.

    New York Super Lawyers recognized Arielle as a Rising Star from 2014 through 2017, and as one of its Top Women Attorneys in New York in 2014 and 2015.

    Prior to joining Kramer Levin, Arielle worked at the National Hockey League, where she assisted in the production of the NHL All-Star Game.

    Experience

    • Represented the director of a global investment firm in an insider trading jury trial in the Southern District of New York and in a parallel SEC action.

    • Represented a sports league executive in investigations involving the DOJ and foreign authorities.

    • Represented a financial services firm in a CFPB investigation involving allegations of unfair and deceptive business practices.

    • Represented the head of an investment fund in a criminal indictment in the Southern District of New York alleging FCPA violations.

    • Represented the members of the audit committee of a global financial institution in an SEC investigation involving accounting irregularities.

    • Represented the head of a nonprofit organization in a criminal indictment involving obstruction of justice charges 

    • Advised a major multinational company on a data breach and cybersecurity incident response, including investigation and consumer notification.

    • Advised a global financial services firm in connection with cross-border data transfer issues involving government agencies.

    • Represented a broker-dealer in FINRA arbitration in connection with Sarbanes-Oxley whistleblower claims and allegations of breach of contract and fraud.

    • Represented a global financial services firm in a government investigation involving Dodd-Frank whistleblower claims.

    • Advised a nonprofit organization on employment issues and contract negotiations for key executives.

    • Represented an international accounting firm in securities class action litigation.

    • Represented the president of a service company in an AAA arbitration involving claims for dissolution and breach of fiduciary duties.

    • Represented the creditors committee of a major mortgage services company in residential mortgage-backed securities litigation in connection with a multibillion-dollar bankruptcy.

    • Served as lead counsel (first chair) successfully defending clients in various state criminal matters in conjunction with The Legal Aid Society Criminal Defense Pro Bono Project.

    • Successfully represented a large nonprofit organization in an Article 78 proceeding involving wrongful denial of FOIL requests.

    • Represented low-income elderly clients in estate-planning matters in connection with the Volunteers of Legal Services’ Elderly Project.

    Credentials

    Education

    • J.D., magna cum laude, Fordham University School of Law, 2005
      • Order of the Coif
      • Fordham Law Review
      • Moot Court Board
      • Kevin Thomas Duffy Scholarship recipient
      • Alpha Sigma Nu Honor Society
      • Business Editor, Dispute Resolution Society
    • B.A., summa cum laude, Phi Beta Kappa, Barnard College, Columbia University
      • Distinction on Senior Thesis “Beyond Man’s Best Friend: The Social Roles of Dogs in Manhattan”

    Bar Admissions

    • New York, 2006

    Court Admissions

    • U.S. Supreme Court
    • U.S.D.C., Eastern District of New York
    • U.S.D.C., Southern District of New York

    Professional Affiliations

    • New York City Bar Association
    • International Association of Privacy Professionals (IAPP)
    • Elizabeth Glaser Pediatric AIDS Foundation, Young Professionals Committee
    • The Legal Aid Society, Criminal Defense Division, Extern