Wayne Aaron Joins Katten in NYC to Co-Chair Broker-Dealer Regulation Group

Katten announced today that attorney Wayne Aaron, who helps broker-dealers and other market participants navigate a range of government regulations and related investigations, has joined its Financial Markets and Funds department as a partner in New York. Mr. Aaron will serve as co-chair of the firm’s Broker-Dealer Regulation group.

“Wayne’s demonstrated ability to reach successful regulatory outcomes and his clear commitment to top-shelf client service align with our approach advising leaders in the financial services industry,” said Lance Zinman, Global Chair of Katten’s award-winning Financial Markets and Funds practice. “As the new year ushers in new client regulatory concerns, some yet unknown, Wayne’s presence on our team is a significant plus.”

In addition to broker-dealers, Mr. Aaron provides ongoing counsel to hedge funds, proprietary trading and fintech firms, and other institutional investors regarding complex sales, trading and regulatory issues affecting the securities markets. He advises clients on examinations and inquiries by and enforcement proceedings before the Securities and Exchange Commission (SEC), among other regulators.

Mr. Aaron is an itinerant public speaker on regulatory and trading issues. He has been recognized by Chambers USA, Nationwide Financial Services Regulation: Broker-Dealer (Enforcement), commended for his ability to “maneuver through difficult and complicated situations.”

Katten is a full-service law firm with approximately 700 attorneys in locations across the United States and in London and Shanghai. Clients seeking sophisticated, high-value legal services turn to Katten for counsel locally, nationally and internationally. The firm’s core areas of practice include corporate, financial markets and funds, insolvency and restructuring, intellectual property, litigation, real estate, structured finance and securitization, transactional tax planning, private credit and private wealth. Katten represents public and private companies in numerous industries, as well as a number of government and nonprofit organizations and individuals.